TRG Capital Management, Inc., an independent Registered Investment Advisor, is committed to safeguarding the confidential information of its clients. We hold all personal information provided to our firm in the strictest confidence. These records include all personal information that we collect from you in connection with any of the Investment Management or Consulting services provided by TRG Capital Management, Inc. We do not disclose any of your personal information to nonaffiliated third parties, except as permitted by law, and do not anticipate doing so in the future. If we were to anticipate such a change in our firm’s policy, we would be prohibited under the law from doing so without advising you first. As you know, we typically gather financial information from you to help you meet your personal financial goals while guarding against any real or perceived infringements of your rights of privacy. Our policy with respect to personal information about you is listed below:
- We limit employee access to information only to those who have a business or professional reason for knowing, and only to nonaffiliated third parties as permitted by law. (For example, federal regulations permit us to share a limited amount of information about you with a brokerage firm or custodian in order to open an account, execute securities transactions on your behalf, and provide for ongoing administration of your account. We also may, with your written permission, discuss your financial situation with your attorney or tax professional). Federal and state regulators may also review firm records as permitted under law.
- Our employees are required to protect the confidentiality of your personal information. Employees sign a Confidentiality Agreement annually outlining our policies. Employees are subject to disciplinary measures if they do not comply with our policies.
- We maintain physical, electronic and procedural safeguards that comply with federal standards to protect your nonpublic personal information. These include:
- Password-protecting each employee’s computer
- Maintaining a firewall and anti-virus software to prevent access to your electronic records from outside the firm
- A building alarm system to protect against theft of records outside of normal business hours
- Locking client files during non-business hours
- Use of an advanced shredding machine or locked disposal bin for non-filed documents containing client data
- Shredding documents periodically and after their retention period has expired
- Limiting access to your electronic records from within our firm by securing Account access User ID and Password information
- The categories of nonpublic personal information we collect depends upon the scope of services provided. Typically, this may include but not be limited to: name, address, social security number, and information about your investments and financial situation. We may also ask for additional information if we believe it will help us perform the tasks you have hired us to perform.
- We collect nonpublic personal information about you from the following sources:
- Information provided to us by you on applications or other forms in connection with our products or services
- Information about your transactions with us, our affiliates, or others
- Information from consumer reporting agencies
- We do not provide your personally identifiable information to mailing list vendors or solicitors for any purpose.
- Personally identifiable information will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained in accordance with federal and state securities regulations. After this required period of record retention, all such information will be destroyed.
- If at any time you find that your personal information is inaccurate, or you need to make a change to that information, please contact our offices promptly so that we can update our records.
If you have any questions or concerns about this privacy notice please contact:
Thomas R. Gasper, Chief Compliance Officer
TRG Capital Management, Inc.
8321 Six Forks Road, Suite 103
Raleigh, NC 27615
919-239-4163