Diogenes Financial LLC (“DF”) 5/7/24
DF does not share or sell client data. DF will never share or sell client data. DF does not engage in business relationships with people, firms, or organizations who want client data.
DF must collect certain pieces of information from clients and potential clients to comply with state and federal laws regarding investment advisers. This information is entered by the client into our Client Information Form.
It will be necessary for the client to share their personal data with a custodian broker in order to receive investment management services, and possibly any parties that custodian uses for services.
DF promises to protect client data, to the best of our ability, from various evildoers. There are numerous high and low tech systems and best practices in place to ensure client privacy and security, which are enhanced by not telling the world about them. Except as required by law, Diogenes Financial will keep confidential all information concerning clients’ identity, financial affairs, investments, and all other personal information. No third parties will be given access to client information unless the Advisory is legally compelled to do so, and even then we will oppose if possible via an appropriate legal response.
Diogenes Financial does not collect cookies or other web traffic data.
All of the above refers to former clients as well as current clients.
DF is required by law to send current clients an updated disclosure brochure at least annually, or whenever there is a material change. DF must also contact clients annually to be verify there are no changes in personal information that may change investment goals. It is not possible to opt out of receiving these items.
Past clients or potential clients may request we delete any personal information we may have; we can comply once the regulatory minimum period for retaining this information has expired, typically 6 years. Past and current clients may request to view any personal information DF may have about them.
DF currently uses Signal for virtual meetings; as an open-source non-profit provider of encrypted communication, they appear to be the current best option for privacy, security, ethical concerns, and ease of use.
In case of a discovered security breach, all clients will be notified.