Privacy Policy    |     Disclaimer and Important Legal Information

We know that you are concerned with how your personal and financial information is treated. This Privacy Policy sets forth our current policies and demonstrates our commitment to your financial privacy. Please bear in mind, however, that we may change the content or services found on our website, and consequently, our privacy policy at any time in the future. Please revisit this page from time to time to be sure that you are familiar with any changes to our policy. Your continued use of our web site following any modifications to this privacy policy will be conclusively deemed acceptance of any changes. As a user of the public portion of the Daroth Capital Advisors website, you are not required to provide us with any personal information, and we do not monitor or collect any personally identifiable information from you on your use of the public portions of our site. We may track the number of users who visit particular portions of our site, but such aggregate numbers do not identify you. We may also record the location of your computer on the Internet, for systems administration and troubleshooting purposes, and to report aggregate information.

This privacy notice reflects the policy of Daroth Capital Advisors LLC. It describes how “nonpublic personal information”, which includes client personal and financial information, may be collected and shared, as well as the steps we will take to protect this information from unauthorized access.

This policy applies both to current and former clients, and is designed to comply with the privacy provisions in Title V of the Gramm-Leach-Bliley Act, as well as applicable federal privacy regulations.

We take great care to safeguard your information and to ensure its accuracy.
• We limit employee access to nonpublic personal information to those who need to know this information in order to serve client relationships. Employees are educated about the importance of privacy in accordance with our Client Privacy Policies and Procedures.
• We maintain physical, electronic and procedural safeguards that comply with all applicable regulatory standards to guard your nonpublic personal information.
• We strive to maintain complete, current and accurate information about you and your investments.

We collect and maintain nonpublic personal information in order to:
• Facilitate and service your investments.
• Identify you and protect your nonpublic personal information from unauthorized access or identity theft.
• Inform you of investment opportunities that can meet your needs now and in the future.

This information may be collected from a variety of sources, including:
• Information we receive from you on application forms or other documents, such as your name, address, and financial information.
• Information we receive through your investments and holdings.

We do not sell your information to any third parties.

Information may be shared with non-affiliated third parties only when those parties are acting on our behalf, or as required or permitted by law. These third parties may include:
• Service providers who provide support services to help facilitate and administer your investments. These services providers are legally obligated to maintain the confidentiality of the information we provide to them, and are restricted from using this information for any reason beyond the performance of specified services on our behalf.
• Other parties as permitted or required by applicable law. These may include, for example, government agencies in response to subpoenas and other legal processes, consumer reporting agencies, or those with whom you have authorized us to share information.
• Companies, funds and similar entities that we deem as potential investment opportunities or co-investors with you and who need to review such information to verify your suitability.

You may advise us that you do not want us to share this information with non-affiliated third parties except as necessary to facilitate your investments and as required by law by completing and mailing the attached Opt-Out Request Form. Please allow a reasonable period of time (up to 90 days) for us to process your request.

Our website also contains hyperlinks to other websites not operated by Daroth Capital Advisors. Daroth Capital Advisors is not responsible for the content, or the privacy practices, of these websites.

Although we have tried to create a secure and reliable web site for our users, the confidentiality of any communication or material transmitted via our web site or by e-mail cannot be guaranteed. When disclosing any personal information, all users should remain mindful of the fact that it is potentially accessible to others, and consequently, can be collected and used by others without user consent. Accordingly, users should consider carefully if they want to submit sensitive information that they would not want disclosed and should recognize that their use of the Internet and our web site is solely at their own risk. We have no responsibility or liability for the security of personal information transmitted via the Internet.

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Privacy Policy    |     Disclaimer and Important Legal Information

Persons who access information on the website of Daroth Capital Advisors LLC ("Daroth website") agree to the following terms and conditions. Any special agreements with respect to individual services or products of Daroth Capital Advisors LLC ("Daroth") shall be complementary to these terms and conditions, although in the event of any conflict, the provisions contained in any such special agreements shall prevail.

No offer, no obligation

No information published on the Daroth website constitutes a solicitation or offer, or recommendation, to buy or sell any investment instruments, to effect any transactions, or to conclude any legal act of any kind whatsoever.

The information published and opinions expressed are provided by Daroth for personal use and for informational purposes only and are subject to change without notice. Daroth makes no representation (either express or implied) that the information and opinions expressed on the Daroth website are accurate, complete or up to date. In particular, Daroth shall not be obliged to remove any outdated information from the Daroth website or to expressly mark it as being outdated. Nothing contained on the Daroth website constitutes financial, legal, tax or other advice, nor should any investment or any other decisions be made solely based on the Daroth website content. You should obtain advice from a qualified expert before making any investment decision.

Performance

The future performance of an investment cannot be deduced from previous market value, i.e. the value of an investment may fall as well as rise. An investment may also lose value due to changes in rates of foreign exchange. Daroth cannot guarantee that any capital invested will maintain or increase in value.

Limitation of liability

Daroth disclaims, without limitation, all liability for any loss or damage of any kind, including any direct, indirect or consequential damages, which might be incurred through the use of or access to the Daroth website, or any links to third-party websites.
Furthermore, Daroth disclaims all liability for any tampering with the Internet user's computer system by unauthorized parties. In this regard, Daroth expressly reminds of the risk of viruses, and the possibility of targeted attacks by hackers. In order to combat viruses, it is recommended that the most recent browser versions be used, and that anti-virus software be installed and continually updated. As a rule, the opening of any e-mail from an unknown source as well as any unexpected attachment to an e-mail message should be avoided.

Links

Some links on the Daroth website lead to third-party websites, which are completely beyond control of Daroth. Accordingly, Daroth does not assume any responsibility for the accuracy, completeness and legality of the contents of such websites, or for any offers and services contained.

Material interests

Daroth, its executive management, employees and associated persons may have or have had interests or positions in, or traded in relevant securities. Furthermore, such entities or persons may have or have had a relationship with or may provide or have provided corporate finance or other services to or serve or have served as directors of relevant companies.

Local legal restrictions

The Daroth website is not directed to any person in any jurisdiction where (by reason of that person's nationality, residence or otherwise) the publication or availability of the Daroth Website is prohibited. Persons in respect of whom such prohibitions apply must not access the Daroth website.

Use of the Daroth website

The entire content of this Daroth website is subject to copyright with all rights reserved. You may save or print out a hard copy of individual pages and/or sections of the Daroth website, provided that you do not remove any copyright or other proprietary notices. With any saving or otherwise copying from the Daroth website the terms and conditions for use shall be deemed to have been accepted. All property rights shall remain with Daroth. You may not reproduce (in whole or in part), transmit (by electronic means or otherwise), modify, link into or use for any public or commercial purpose the Daroth website without the prior written permission of Daroth.

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Important legal information - please read the disclaimer and privacy policy before proceeding.
Products and services in these webpages may not be available for residents of certain nations.
Please consult the sales restrictions relating to the service in question for further information.
For information concerning our Business Continuity Plan please read -- Business Continuity Plan Disclosure.
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