Privacy Policy

Effective Date: 9/1/2021

Last Annual Review on: 9/1/2021

Your privacy is important to us. AdvisorPeak respects your privacy regarding any information we may collect from you. Although not legally required of us, to protect all our users, we voluntarily comply with the most demanding privacy requirements in the United States: The California Consumer Privacy Act of 2019 (“CCPA”).

Any terms defined in the CCPA have the same meaning when used in this Privacy Policy. This Policy does not apply to workforce-related personal information collected from California-based employees, job applicants, contractors, or similar individuals.

Where noted in this Policy, the CCPA temporarily exempts personal information reflecting a written or verbal business-to-business communication (“B2B personal information“) from some of its requirements.

Information We Collect

We collect information that identifies, relates to, describes, references, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, with a particular consumer, household, or device (“personal information“). Personal information does not include:

Publicly available information from government records.
Deidentified or aggregated consumer information.
Information excluded from the CCPA’s scope, like:
- health or medical information covered by the Health Insurance Portability and Accountability Act of 1996 (HIPAA) and the California Confidentiality of Medical Information Act (CMIA), clinical trial data, or other qualifying research data; and
- personal information covered by certain sector-specific privacy laws, including the Fair Credit Reporting Act (FCRA), the Gramm-Leach-Bliley Act (GLBA) or California Financial Information Privacy Act (FIPA), and the Driver’s Privacy Protection Act of 1994.

In particular, we have collected the following categories of personal information from consumers within the last twelve (12) months:

Category	Examples	Collected
A. Identifiers.	A real name, postal address, unique personal identifier, online identifier, internet protocol address, email address, account name, Social Security number, or other similar identifiers.	YES
B. Personal information categories listed in the California Customer Records statute (Cal. Civ. Code § 1798.80(e)).	A name, signature, Social Security number, physical characteristics or description, address, telephone number, driver’s license or state identification card number, insurance policy number, bank account number, credit card number, debit card number, or any other financial information, medical information, or health insurance information. Some personal information included in this category may overlap with other categories.	YES
C. Protected classification characteristics under California or federal law.	Age (40 years or older), race, color, ancestry, national origin, citizenship, religion or creed, marital status, medical condition, physical or mental disability, sex (including gender, gender identity, gender expression, pregnancy or childbirth and related medical conditions), sexual orientation, veteran or military status, genetic information (including familial genetic information).	NO
D. Commercial information.	Records of property or services purchased, obtained, or considered, or other purchasing or consuming histories or tendencies.	YES
E. Biometric information.	Biological characteristics such as, fingerprints, faceprints, and voiceprints, iris or retina scans, keystroke, or other physical patterns.	NO
F. Internet or other similar network activity.	Browsing history, search history, information on a consumer’s interaction with a website, application, or advertisement.	YES
G. Geolocation data.	Physical location or movements.	NO
H. Sensory data.	Audio, electronic, visual, thermal, olfactory, or similar information.	NO
I. Non-public education information (per the Family Educational Rights and Privacy Act (20 U.S.C. Section 1232g, 34 C.F.R. Part 99)).	Education records directly related to a student maintained by an educational institution or party acting on its behalf, such as grades, transcripts, class lists, student schedules, student identification codes, student financial information, or student disciplinary records.	NO
I. Professional or employment-related information.	Current employees’ performance evaluations.	YES
K. Inferences drawn from other personal information.	Profile reflecting a person’s preferences, characteristics, psychological trends, predispositions, behavior, attitudes, intelligence, abilities, and aptitudes.	YES

We obtain the categories of personal information listed previously from the following categories of sources:

You: for example, from forms you complete or services you acquire.
Publicly available government websites: for example, from the Securities and Exchange Commission’s publicly available information.
Acquaintances: for example, our current clients and businesses who believe our services match your needs.
Data analytic providers: for example, from observing your actions on our websites or from our emails.

Analytics and Cookies Data

We use Google Analytics to measure website behavior trends for our websites. These tools collect data sent by your browser and/or mobile device, including the pages you visit and other information that assists in us improving our website and services. We use this analytics data as a collective whole so that it cannot reasonably be manipulated to identify any particular individual user.

When you visit our websites, we may send one or more cookies (a text file containing a string of alphanumeric characters) to your computer that uniquely identifies your browser and helps AdvisorPeak enhance your experience and navigation through this website. A cookie may also notify us about how you use this website, e.g., the pages you view and actions you take on this website. This allows us to track aggregate usage on this website over time.

Use of Personal Information

We may use or disclose the personal information we collect for one or more of the following purposes:

To fulfill the reason you provided the information. For example, if you share your name and contact information to ask a question about our services, we will use that personal information to respond to your inquiry. If you provide your personal information to obtain a service, we will use that information to process your payment and optimize our services for you.
To provide, support, personalize, and develop our websites and services.
To create, maintain, customize, and secure your account with us.
To process your requests, purchases, transactions, and payments and prevent transactional fraud.
To provide you with support and to respond to your inquiries, including to investigate and address your concerns and monitor and improve our responses.
To personalize your website experience and to deliver content and product and service offerings relevant to your interests, including targeted offers and ads through our website, third-party sites, and email (with your consent, where required by law).
To help maintain the safety, security, and integrity of our websites, products and services, databases and other technology assets, and business.
For testing, research, analysis to develop and improve our websites, products, and services.
To respond to law enforcement requests and as required by applicable law, court order, or governmental regulations.
As described to you when collecting your personal information or as otherwise set forth in the CCPA.
To evaluate or conduct a merger, divestiture, restructuring, reorganization, dissolution, or other sale or transfer of some or all of our assets, whether as a going concern or as part of bankruptcy, liquidation, or similar proceeding, in which personal information held by us about our consumers is among the assets transferred.

We will not collect additional categories of personal information or use the personal information we collected for materially different, unrelated, or incompatible purposes without providing you notice.

Sharing Personal Information

We may share your personal information by disclosing it to a third party for a business purpose. We only make these business purpose disclosures under written contracts that describe the purposes, require the recipient to keep the personal information confidential, and prohibit using the disclosed information for any purpose except performing the contract. In the preceding twelve (12) months, Company has disclosed personal information for a business purpose to the categories of third parties indicated in the subsequent chart. We do not sell your personal information.

Personal Information Category	Category of Third-Party Recipients
A: Identifiers.	Payment processors Electronic signature platforms Data analytic providers
B: Customer Records personal information categories.	Payment processors Electronic signature platforms
C: Protected classification characteristics under California or federal law.	None
D: Commercial information.	Payment processors Electronic signature platforms
E: Biometric information.	Payment Processors
F: Internet or other similar network activity.	Data analytic providers
G: Geolocation data.	Data analytic providers
H: Sensory data.	None
I. Professional or employment-related.	None
J: Non-public education information.	None
K: Inferences drawn from other personal information.	Data analytic providers

Deidentified Financial Information

We do not sell deidentified financial information to third parties. We use deidentified customer data to create analyses with general market trends. The reports never contain personally identifying information. To deidentify the financial information, we maintain a separate database table for aggregating trading metrics by security. The security’s symbol is used to track security’s trading metrics. If the symbol cannot be used, AdvisorPeak creates new entries in this table with keys to track the trading metrics. No customer names, emails, personally identifiable information, or other identification is associated with this table in any way.

Your Rights and Choices

This section describes your rights and explains how to exercise those rights.

Right to Know and Data Portability

You have the right to request that we disclose certain information to you about our collection and use of your personal information over the past 12 months (the “right to know”). Once we receive your request and confirm your identity (see Exercising Your Rights to Know or Delete), we will disclose to you:

The categories of personal information we collect about you.
The categories of sources for the personal information we collect about you.
Our business or commercial purpose for collecting or disclosing that personal information with a list identifying the personal information categories that each category of recipient obtained.
The categories of third parties with whom we share that personal information.

Right to Delete

You have the right to request that we delete any of your personal information that we collected from you and retained, subject to certain exceptions (the “right to delete”). Once we receive your request and confirm your identity (see we will review your request to see if an exception allowing us to retain the information applies. We may deny your deletion request if retaining the information is necessary for us or our service provider(s) to:

Complete the transaction for which we collected the personal information, provide a good or service that you requested, take actions reasonably anticipated within the context of our ongoing business relationship with you, fulfill the terms of a written warranty or product recall conducted in accordance with federal law, or otherwise perform our contract with you.
Detect security incidents, protect against malicious, deceptive, fraudulent, or illegal activity, or prosecute those responsible for such activities.
Debug products to identify and repair errors that impair existing intended functionality.
Exercise free speech, ensure the right of another consumer to exercise their free speech rights, or exercise another right provided for by law.
Comply with the California Electronic Communications Privacy Act (Cal. Penal Code § 1546 seq.) when applicable to your situation.
Engage in public or peer-reviewed scientific, historical, or statistical research in the public interest that adheres to all other applicable ethics and privacy laws, when the information’s deletion may likely render impossible or seriously impair the research’s achievement, if you previously provided informed consent.
Enable solely internal uses that are reasonably aligned with consumer expectations based on your relationship with us.
Comply with a legal obligation.
Make other internal and lawful uses of that information that are compatible with the context in which you provided it.

We will delete or deidentify personal information not subject to one of these exceptions from our records and will direct our service providers to take similar action.

We do not provide these deletion rights for B2B personal information.

Exercising Your Rights to Know or Delete

To exercise your rights to know or delete the data described previously, please submit a request by:

Calling us at (855) 693-7325
Emailing us at support@advisorpeak.com
Visiting us at https://advisorpeak.com/contact-us

Only you, or someone legally authorized to act on your behalf, may make a request to know or delete related to your personal information. To designate an authorized agent, please complete the Authorized Agent Form and have it notarized.

We do not gather data on minors.

You may only submit a request to know twice within a 12-month period. Your request to know or delete must:

Provide sufficient information that allows us to reasonably verify you are the person about whom we collected personal information or an authorized representative, which may include:
- Identify your account information if you are a client.
- Send a copy of a notarized document authorizing you as the agent.
- Provide your name, birthdate, and address.
Make sure your request contains sufficient detail for us to properly understand, evaluate, and respond to it.

We cannot respond to your request or provide you with personal information if we cannot verify your identity or authority to make the request and confirm the personal information relates to you.

You do not need to create an account with us to submit a request to know or delete. We will only use personal information provided in the request to verify the requestor’s identity or authority to make it.

Response Timing and Format

We will confirm receipt of your request within ten (10) business days. If you do not receive confirmation within the 10-day timeframe, please contact support@advisorpeak.com.

We endeavor to substantively respond to a verifiable consumer request within forty-five (45) days of its receipt. If we require more time (up to another 45 days), we will inform you of the reason and extension period in writing.

If you have an account with us, we will deliver our written response to that account. If you do not have an account with us, we will deliver our written response by mail or electronically, at your option.

Any disclosures we provide will only cover the 12-month period preceding our receipt of your request. The response we provide will also explain the reasons we cannot comply with a request, if applicable. For data portability requests, we will select a format to provide your personal information that is readily useable and should allow you to transmit the information from one entity to another entity without hindrance, specifically comma separated values, also known as CSV.

We do not charge a fee to process or respond to your verifiable consumer request unless it is excessive, repetitive, or manifestly unfounded. If we determine that the request warrants a fee, we will tell you why we made that decision and provide you with a cost estimate before completing your request.

Personal Information Sales Opt-Out and Opt-In Rights

We do not sell your personal information. Since your information is not sold, you do not need to indicate opt-in or opt-out of the sharing of information. When you work with AdvisorPeak, you have opted out of selling your information.

Non-Discrimination

We will not discriminate against you for exercising any of your rights. Unless legally permitted by the CCPA, we will not:

Deny you services.
Charge you different prices or rates for goods or services, including through granting discounts or other benefits, or imposing penalties.
Provide you a different level or quality of services.
Suggest that you may receive a different price or rate for services or a different level or quality of services.

However, we may offer you certain financial incentives permitted by the CCPA that can result in different prices, rates, or quality levels. Any CCPA-permitted financial incentive we offer will reasonably relate to your personal information’s value and contain written terms that describe the program’s material aspects. Participation in a financial incentive program requires your prior opt-in consent, which you may revoke at any time.

Changes to Our Privacy Policy

We reserve the right to amend this privacy policy at our discretion and at any time. When we make changes to this privacy policy, we will post the updated notice on the websites and update the notice’s effective date. Your continued use of our websites following the posting of changes constitutes your acceptance of such changes.

Contact Information

If you have any questions or comments about this notice, the ways in which AdvisorPeak collects and uses your information described here, your choices and rights regarding such use, or wish to exercise your rights, please do not hesitate to contact us at:

Phone: (801) 679-2646

Toll-Free: (855) 693-7325

Website: https://advisorpeak.com/contact-us

Email: support@advisorpeak.com

Postal Address:

AdvisorPeak

Attn: Support Department

968 N McCormick Way, Layton, UT 84041

If you need to access this Policy in an alternative format due to a disability, please contact us through anyone of these avenues.