Privacy & Confidentiality Policy

Your privacy and the security of your information are our highest priorities

Last Updated: January 2025

Our Commitment to Privacy

At The Avenue Wealth Management LLC, we understand that your financial information is highly sensitive and personal. We are committed to maintaining the confidentiality, integrity, and security of your personal and financial information in accordance with federal and state privacy laws.

This Privacy and Confidentiality Policy explains how we collect, use, protect, and share your information as part of our wealth management services.

Information We Collect

Personal Information

To provide comprehensive wealth management services, we collect various types of personal information, including:

  • Name, address, date of birth, and Social Security number
  • Contact information (phone, email, mailing address)
  • Employment information and income details
  • Family information and beneficiary designations
  • Government-issued identification documents

Financial Information

We collect financial information necessary to manage your wealth effectively:

  • Bank account and investment account information
  • Assets, liabilities, and net worth details
  • Investment objectives, risk tolerance, and time horizon
  • Tax returns and financial statements
  • Insurance policies and estate planning documents

Technical Information

When you interact with our website or digital platforms:

  • IP address, browser type, and device information
  • Website usage data and navigation patterns
  • Cookies and similar tracking technologies
  • Login credentials and authentication information

How We Use Your Information

Providing Services

We use your information to deliver comprehensive wealth management services:

  • Developing and implementing personalized investment strategies
  • Managing your investment portfolios and accounts
  • Providing financial planning and advisory services
  • Executing transactions and processing payments
  • Preparing reports and performance analyses

Legal and Regulatory Compliance

We use your information to comply with legal obligations:

  • Verifying your identity and preventing fraud
  • Meeting regulatory reporting requirements
  • Responding to legal requests and court orders
  • Maintaining required records and documentation

Communication and Service Improvement

We may use your information to:

  • Communicate important account information and updates
  • Send market insights and educational materials
  • Improve our services and client experience
  • Conduct client satisfaction surveys

How We Share Your Information

We do not sell your personal information to third parties. We may share your information only in the following circumstances:

Service Providers

We share information with trusted service providers who assist us in delivering services, such as custodians, broker-dealers, technology providers, and professional advisors. These parties are contractually obligated to protect your information.

Legal Requirements

We may disclose information when required by law, regulation, legal process, or governmental request, or to protect our rights, property, or safety.

With Your Consent

We may share information with third parties when you have given us explicit consent to do so, such as sharing information with your accountant or attorney.

Security Measures

We implement comprehensive security measures to protect your information from unauthorized access, use, or disclosure:

Physical Security

Secure office facilities with restricted access, locked file cabinets, and controlled document disposal procedures.

Technical Security

Encryption, firewalls, secure servers, multi-factor authentication, and regular security audits.

Administrative Security

Employee training, confidentiality agreements, background checks, and strict access controls.

Data Protection

Regular backups, disaster recovery plans, and secure data transmission protocols.

Your Privacy Rights

You have the following rights regarding your personal information:

  • Access: Request access to the personal information we hold about you
  • Correction: Request correction of inaccurate or incomplete information
  • Opt-Out: Opt out of certain information sharing (subject to legal limitations)
  • Communication Preferences: Choose how you receive communications from us
  • Account Closure: Close your account and request deletion of information (subject to legal retention requirements)

Data Retention

We retain your personal and financial information for as long as necessary to provide services and comply with legal and regulatory requirements. Even after you close your account, we may retain certain information as required by law or for legitimate business purposes.

Federal securities laws require us to maintain certain records for specified periods, typically ranging from three to seven years.

Cookies and Tracking Technologies

Our website uses cookies and similar technologies to enhance your experience, analyze usage patterns, and improve our services. You can control cookie settings through your browser preferences, though disabling cookies may limit certain website functionality.

We do not use cookies to collect personally identifiable information without your consent.

Third-Party Websites

Our website may contain links to third-party websites. We are not responsible for the privacy practices of these external sites. We encourage you to review the privacy policies of any third-party websites you visit.

Updates to This Policy

We may update this Privacy and Confidentiality Policy periodically to reflect changes in our practices, technology, legal requirements, or other factors. We will notify you of material changes by:

  • Posting the updated policy on our website with a new "Last Updated" date
  • Sending you a notice via email or postal mail
  • Providing notice through our client portal

Contact Us About Privacy

If you have questions about this Privacy Policy, wish to exercise your privacy rights, or have concerns about how we handle your information, please contact us:

The Avenue Wealth Management LLC

1360 Caduceus Way, Building 800, Suite 101
Watkinsville, GA 30677

Regulatory Compliance

The Avenue Wealth Management LLC is a registered investment advisor subject to the privacy provisions of the Gramm-Leach-Bliley Act (GLBA) and Regulation S-P. We comply with all applicable federal and state privacy laws and regulations.

Incorporation Date: December 26, 2019

Your Trust is Our Priority

Experience secure and confidential wealth management services