Forum Capital Advisors LLC
Keeping your personal information private and confidential is important to us, and we at Forum Capital Advisors LLC ("Forum", “we,” or “us”) take the safekeeping and use of such information seriously.
This notice (this “Privacy Notice”) sets forth our policies for the collection, use, storage, sharing, disclosure (collectively, “processing”) and protection of personal information relating to current, prospective and former individual investors in Forum's Funds or Investment Products (collectively, "Funds") investing primarily for personal, family or household purposes (“you” or the “investor”). This Privacy Notice is being provided in accordance with the requirements of applicable data privacy laws, including the US Gramm-Leach-Bliley Act of 1999, as amended.
We collect personal information about the Forum's clients such as you that we obtain in connection with providing a financial product or service to you (“nonpublic personal information”) from the following sources:
- Information we receive from you or (if different) the investor on applications or other
- Information that we collect or generate, such as information relating to your (or an investor’s) investment in the Funds, emails (and related data) and website usage data.
- Information about your transactions with us or
- Information we receive from third parties such as public websites, publicly accessible databases or registers, tax authorities, governmental agencies and supervisory authorities, transfer agents, custodians, administrators, financial institutions and credit This might include information obtained for the purpose of the Funds' know-your-client procedures (which include anti-money laundering procedures, counter-terrorist financing procedures, politically-exposed-person checks, sanctions checks, among other things).
Nonpublic personal information we may collect includes:
- Postal address
- Telephone number
- Date of birth
- Email address
- Social Security number, tax identification number, or any similar number or other government- issued ID or driver's license
- Online account information, such as username and password
- Employment information, such as title and role
- Financial and investment information, including information and choices concerning your current investments and tax-related information
We do not disclose any of you nonpublic personal information to anyone, except to: (1) our affiliates; (2) our third-party service providers; (3) as required or permitted by law; (4) with your consent; or (5) as otherwise described in this Privacy Notice. Our affiliates will be responsible for handing all of your legitimate requests regarding shared nonpublic personal information.
We only use your nonpublic personal information to facilitate the opening and maintenance of your accounts with us, to help us better serve your investment needs, to respond to your inquiries and fulfill your requests, to personalize your experience on our website, to suggest services or educational materials that may be of interest to you, or for our business purposes (e.g., data analysis, audits, fraud monitoring and prevention, and for the development of new products).
We may disclose your nonpublic personal information to nonaffiliated third parties (such as financial service providers, know-your-customer (“KYC”) review services and anti-money laundering (“AML”) review services) for our everyday business purposes, including any of the purposes described in the preceding paragraph as well as to process transactions, to detect and prevent cyberattacks or attempts to commit identity theft, to respond to court orders and legal investigations and to report to credit bureaus.
We may also use and disclose your nonpublic personal information as we believe to be necessary or appropriate: (a) to comply with applicable law, to respond to requests from public and government authorities, to cooperate with law enforcement or for other legal reasons; (b) to enforce our terms and conditions; (c) to protect our rights, privacy, safety or property, and/or that of you or others; or in the event of any reorganization, merger, sale, joint venture, assignment, transfer or other disposition of all or any portion of our business, assets or stock (including in connection with any bankruptcy or similar proceedings).
If you are a California resident, you may contact us at any time to limit our disclosure of your nonpublic personal information by contacting us as described below (see “Contact Us”). If you limit disclosure of nonpublic personal information for an account you hold jointly with someone else, your choices will apply to everyone on your account. U.S. state laws may give you additional rights to limit disclosure.
If you terminate your relationship with us, this Privacy Notice (as it may be modified in the future) will continue to apply to your nonpublic personal information after that time, and we will retain nonpublic personal information in accordance with federal law and our records retention policies.
Confidentiality and Security
We maintain physical, electronic and procedural safeguards designed to protect nonpublic personal information within our organization. We also endeavor to restrict access to your personal and financial information to authorized associates who have a need for these records. Please do not send such information to us in non-secure e-mails.
The “Last Updated” line at the bottom of this page indicates when this Privacy Notice was last revised.
Social Security Numbers
We may request that you provide us with your Social Security number in order to provide you with the services and facilitate any of your requests with respect to our investment programs and products. We only use and disclose such information to facilitate your requests, prevent fraud or other harm, and to comply with legal, audit, insurance and other similar requirements, and otherwise in accordance with applicable law. We take the confidentiality of this information very seriously (see also “Confidentiality and Security” above) and have policies in place to limit access to such information on a need-to-know basis.
If you have any questions about this Privacy Notice, please contact us at: InvestorRelations@forumcapadvisors.com.
Last Updated: August 2022