Privacy And Security

 

FACTS

WHAT DOES EACM ADVISORS LLC DO WITH YOUR PERSONAL INFORMATION?

 
 
 

WHY?

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information.

Please read this notice carefully to understand what we do.

 
 

WHAT?

The types of personal information we collect and share depend on the product or service you have with us. This information can include:

  • Social Security Number and Transaction history

  • Account balances and Assets

  • Risk tolerance and Wire Transfer Instructions

  • Investment experience

When you are no longer our customer, we continue to share information as described in this notice.

 
 

HOW?

All financial companies need to share customers' personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers' personal information; the reasons EACM Advisors LLC chooses to share; and whether you can limit this sharing.

 
 
 

Reasons we can share your personal information

Does EACM Advisors share?

Can you limit this sharing?

 
 

For our everyday business purposes—

such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus

Yes

No

 
 

For our marketing purposes—

to offer our products and services to you

Yes

No

 
 

For joint marketing with other financial companies

No

No

 
 

For our affiliates' everyday business purposes— information about your transactions and experiences

Yes

No

 
 

For our affiliates' everyday business purposes— information about your creditworthiness

No

No

 
 

For our affiliates to market to you

Yes

Yes

 
 

For non-affiliates to market to you

No

No

 
 
 

To limit our sharing

Complete and mail this form.

If you are a new customer, we may begin sharing your information 30 days from the date we deliver this notice to you. When you are no longer our customer, we continue to share your information as described in this notice. You can contact us at any time to limit our sharing.

 
 
 

Questions?

Call 203.854.7000

 
 
 

Who we are

 
 

Who is providing this notice?

EACM Advisors LLC

 
 
 

What we do

 
 

How does EACM Advisors protect my personal information?

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

 
 

How does EACM Advisors collect my personal information?

We collect your personal information, for example, when you

  • Open an account and enter into an investment advisory contract

  • Give us your contact information

  • Direct us to buy securities or Direct us to sell your securities

  • Make a wire transfer

  • Tell us where to send the money

We also collect your personal information from third parties, such as credit bureaus, affiliates, or other companies.

 
 

Why can't I limit all sharing?

Federal law gives you the right to limit only

  • Sharing for affiliates' everyday business purposes—information about your creditworthiness

  • Affiliates from using your information to market to you

  • Sharing for non-affiliates to market to you

State laws and individual companies may give you additional rights to limit sharing.

 
 

What happens when I limit sharing for an account I hold jointly with someone else?

Your choice will apply to everyone on your account.

 
 
 

Definitions

 
 

Affliliates

Companies related by common ownership or control. They can be financial and nonfinancial companies.

  • Please see the affiliate list below.

 
 

Nonaffiliates

Companies not related by common ownership or control. They can be financial and nonfinancial companies.

  • EACM Advisors does not share information with non-affiliates so they can market to you.

 
 

Joint Marketing

A formal agreement between non-affiliated financial companies that together market financial products or services to you.

  • EACM Advisors doesn't jointly market.

 
 
 

Other important information

 
 

This notice applies to individual consumers who are customers or former customers. This notice replaces all previous notices of our consumer privacy policy, and may be amended at any time. We will keep you informed of changes or amendments as required by law.

SPECIAL NOTICE FOR RESIDENTS OF VERMONT If our account records show that you live in Vermont; we will not disclose nonpublic personal information about you to our affiliates for the purpose of enabling them to market their products and services to you. There is no need for you to opt out to prevent that kind of disclosure.

 
 
 

Affiliates

 
 

EACM Advisors may share your information with the affiliated companies listed in the box to the right.

Alcentra Ltd.
The Bank of New York Mellon
BNY Mellon, N.A.
The Boston Company Asset Management LLC
Boston Safe Deposit Finance Company, Inc.
Dreyfus Service Organization, Inc.
G-Trade Services LLC
Lockwood Advisors LLC
Lockwood Capital Management Inc
MBSC Securities Corporation
Pershing LLC
CenterSquare Asset Management
Meriten Investment Management GmbH
Standish Mellon Asset Management Company LLC
The Newton Group
Blackfriars Asset Management
Ankura Capital
Walter Scott   Partners Ltd.
Pareto Investment Management Ltd.
I3 Advisors Inc.
Insight Investment Management
and all other banks or companies whose names include "BNY" or "Mellon."
Your opt-out will also apply to banks or other companies that may become our affiliates in the future.

 
ADDITIONAL LINKS
BNY Mellon Privacy Policy.