Privacy Policy

Our commitment to you

Regatta Capital Group, LLC (“Regatta” or the “Advisor”) is committed to safeguarding the use of personal information of our Clients (also referred to as “you” and “your”) that we obtain as your Investment Advisor, as described here in our Privacy Policy (“Policy”).

Our relationship with you is our most important asset. We understand that you have entrusted us with your private information, and we do everything that we can to maintain that trust. Regatta (also referred to as “we,” “our,” and “us”) protects the security and confidentiality of the personal information we have and implements controls to ensure that such information is used for proper business purposes in connection with the management or servicing of our relationship with you.

Regatta does not sell your non-public personal information to anyone. Nor do we provide such information to others except for discrete and reasonable business purposes in connection with the servicing and management of our relationship with you, as discussed below.

Details of our approach to privacy and how your personal non-public information is collected and used are set forth in this Policy.

Why you need to know?

Registered investment advisors (“RIAs”) must share some of your personal information in the course of servicing your account. Federal and State laws give you the right to limit some of this sharing and require RIAs to disclose how we collect, share, and protect your personal information.

What information do we collect from you?
  • Social security or taxpayer identification number 
  • Name, address and phone number[s] 
  • E-mail address[es] 
  • Account information (including other institutions)
  • Assets and liabilities 
  • Income and expenses 
  • Investment activity 
  • Investment experience and goals 
What information do we collect from other sources?
  • Custody, brokerage, and advisory agreements
  • Other advisory agreements and legal documents  
  • Transactional information with us or others 
  • Account applications and forms 
  • Investment questionnaires and suitability documents 
  • Other information needed to service account 
SMS Messaging

The Advisor’s SMS messaging provides the Client with timely and relevant communications directly from the Advisor. Clients can expect to receive periodic messages that may include notifications about upcoming meetings, responses to inquiries, and important account-related information. These messages are sent via an SMS application, where all sensitive data is delivered securely, to maintain the confidentiality and integrity of the Client’s data. Please note that the frequency and content of these messages will be related to the services to the Client.

How do we protect your information?

To safeguard your personal information from unauthorized access and use, we maintain physical, procedural, and electronic security measures. These include such safeguards as secure passwords, encrypted file storage, and a secure office environment. Our technology vendors provide security and access control over personal information and have policies over the transmission of data. Our associates are trained on their responsibilities to protect Clients’ personal information. 

We require third parties that assist in providing our services to you to protect the personal information they receive from us. 

How do we share your information?

An RIA shares Client personal information to effectively implement its services. In the section below, we list some reasons we may share your personal information.

No mobile information will be shared with third parties/affiliates for marketing/promotional purposes. All other categories exclude text messaging originator opt-in data and consent; this information will not be shared with any third parties.

Basis for SharingDow we share?Can you limit?
Servicing our Clients
We may share non-public personal information with non-affiliated third parties (such as administrators, brokers, custodians, regulators, credit agencies, other financial institutions) as necessary for us to provide agreed-upon services to you, consistent with applicable law, including but not limited to processing transactions; general account maintenance; responding to regulators or legal investigations; and credit reporting.
YesNo
Marketing Purposes
Regatta does not disclose and does not intend to disclose personal information, including mobile phone numbers, with non-affiliated third parties to offer you services. Certain laws may give us the right to share your personal information with financial institutions where you are a customer and where Regatta or the client has a formal agreement with the financial institution.We will only share information for purposes of servicing your accounts, not for marketing purposes.
NoNot Shared
Authorized Users
Your non-public personal information may be disclosed to you and persons that we believe to be your authorized agent[s] or representative[s].
YesYes
Information About Former Clients
Regatta does not disclose and does not intend to disclose non-public personal information to non-affiliated third parties with respect to persons who are no longer our Clients.
NoNot Shared

The Advisor will not share any mobile phone numbers and/or consent obtained from you to any third-parties.

 

State-specific Regulations
CaliforniaIn response to a California law, to be conservative, we assume accounts with California addresses do not want us to disclose personal information about you to non-affiliated third parties, except as permitted by California law. We also limit the sharing of personal information about you with our affiliates to ensure compliance with California privacy laws.
Changes to our Privacy Policy

We will send you a copy of this Policy annually for as long as you maintain an ongoing relationship with us.

Periodically we may revise this Policy and will provide you with a revised policy if the changes materially alter the previous Privacy Policy. We will not, however, revise our Privacy Policy to permit the sharing of non-public personal information other than as described in this notice unless we first notify you and provide you with an opportunity to prevent the information sharing.

Any Questions?

You may ask questions or voice any concerns, as well as obtain a copy of our current Privacy Policy by contacting us at (310) 725-9102 or via email at info@regattainvest.com

Effective June 13, 2024

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