Your rights to privacy regarding your personal information are regulated by law. The advisers, employees, associates, and affiliates of The Leo Group, LLC (“LeoGroup”) consider ourselves very fortunate to merit your trust and we expect to remain worthy of it. The LeoGroup believes strongly in protecting the confidentiality and security of your personal information. The following privacy statement describes our privacy commitment to you.
Financial Services Industry
The Financial Services Modernization Act enacted by Congress as well as other recent activity in the regulatory environment has resulted in many changes in the financial services industry. In compliance with these changes, financial institutions are required to inform clients as to how personal information about them is treated and protected. The SEC’s Regulation S-P requires us to provide this statement to you each year.
Customer Relationship Summary
Please find LeoGroup Wealth Solutions LLC’s Form CRS (Client Relationship Summary) linked below, also known as Form ADV Part 3. Form CRS summarizes the types of services LeoGroup Wealth Solutions LLC offers to retail investors along with its fees, costs, and conflicts associated with those services. It also provides information on LeoGroup Wealth Solutions LLC’s standard of conduct as a fiduciary, whether the firm or associated persons have disciplinary history, and how to get more information about the firm.
You may also find additional information about our firm through the Investment Adviser Public Disclosure system at www.adviserinfo.sec.gov.
As always, we welcome your questions and comments at any time.
LeoGroup Wealth Solutions – Form CRS
We receive non-public personal information about you from many sources including our client conversations, applications, transactions, as well as through other activities in the normal course of business. We typically gather the following types of information: your name, address, contact details, age, occupation, marital status, as well as personal identifiers such as your Social Security Number, Tax File Number, etc. In addition, we gather extensive financial information about you including your source of wealth, investment experience, objectives, and risk tolerance.
Updating Your Personal Information
While we make every effort to ensure that all information we hold about you is accurate, complete, and up to date, you can help us considerably in this regard by promptly updating us as to changes in your personal information.
Use and Disclosure of Your Personal Information
We do not disclose any non-public personal information about you to unaffiliated third parties except as authorized by you or as permitted by law including response to governmental or regulatory requests. At times we may be obligated to disclose information during routine audits by U.S. government regulators. We do not sell information about you to any third parties.
Securing Your Personal Information
We restrict access to non-public personal information about you to our employee, affiliates and service providers who are involved in offering or administering the products and services that we offer. We maintain physical, electronic and procedural safeguards that comply with federal standards to guard your non-public personal information.
Changes to Policy
This policy may be changed from time to time to reflect changes in our practices concerning the collection and use of personal information. The revised Policy will be effective immediately upon posting to the LeoGroup’s website. This version of our Policy is effective June, 2020.