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New York Fee-Based Financial Advisor, Financial Planning and Investment Advice

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Effective DATE:  4/1/2013

Our Commitment to You

This privacy policy applies to www.pricecapitalcorp.com owned and operated by Price Capital LLC. This privacy policy describes how Price Capital LLC collects and uses the personal information you provide on our web site: www.pricecapitalcorp.com.  It also describes the choices available to you regarding our use of your personal information and how you can access and update this information. Price Capital is committed to safeguarding the use of your personal information that we have as your Investment Advisor. Price Capital LLC (referred to as “Price Capital”, “we”, “our” and “us” throughout this notice) protect the security and confidentiality of the personal information we have and make efforts to ensure that such information is used for proper business purposes in connection with the management or servicing of your account.

Our relationship with you is our most important asset. We understand that you have entrusted us with your private information, and we do everything we can to maintain that trust.

We do not sell your non-public personal information to anyone. Nor does Davies provide such information to others except for discrete and proper business purposes in connection with the servicing and management of your account as discussed below.

Details of our approach to privacy and how your personal non-public information is collected and used are set forth in this privacy policy.

 

The Information We Collect About You

You typically provide personal information when you complete the paperwork required to become our Client. This information may include your:

  • Name and address
  • E-mail address
  • Phone number
  • Date of birth
  • Gender
  • Citizenship status
  • Marital status
  • Employment status
  • Social security or taxpayer identification number
  • Accounts at other institutions
  • Assets
  • Income
  • Account balance
  • Investment activity

In addition, we may collect non-public information about you from the following sources:

  • Information we receive on Brokerage Agreements, Managed Account Agreements and other Subscription and Account Opening Documents;
  • Information we receive in the course of establishing a customer relationship including, but not limited to, applications, forms, and questionnaires;
  • Information about your transactions with us or others

We use this information to:

  • Fulfill your registration
  • Process your subscription/free trial
  • Send you an order confirmation
  • Assess your needs to determine suitable services
  • Send you requested product or service information
  • Respond to customer service requests
  • Administer your account
  • Send you a newsletter
  • Provide the financial services you requested
  • Respond to your questions and concerns
  • Improve our website and marketing efforts
  • Conduct research and analysis
  • Display content based upon your interests

Information About You That Price Capital Shares

We will share your personal information with third parties only in the ways that are described in this privacy policy.  To repeat, we do not sell your non-public personal information to anyone.

Price Capital works to provide products and services that benefit our customers. We may share non-public personal information with non-affiliated third parties (such as brokers and custodians) as necessary for us to provide agreed services and products to you consistent with applicable law.

We may also disclose non-public personal information to other financial institutions with whom we have joint business arrangements for proper business purposes in connection with the management or servicing of your account.

In addition, your non-public personal information may also be disclosed to you, persons we believe to be your authorized agent or representative, regulators in order to satisfy Price Capital’s regulatory obligations, and is otherwise required or permitted by law.

We may disclose your non-public personal information to companies we hire to help administrate our business. Companies we hire to provide services of this kind are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. We limit their use of your personal information to the performance of the specific service we have requested.

Some of our pages utilize framing techniques to serve content to from our partners while preserving the look and feel of our site. Please be aware that you are providing your personal information to these third parties and not to www.pricecapitalcorp.com.

Lastly, We may also disclose your personal information as required by law, such as to comply with a subpoena, or similar legal process; when we believe in good faith that disclosure is necessary to protect our rights, protect your safety or the safety of others, investigate fraud, or respond to a government request or to any other third party with your prior consent to do so.  If Price Capital is involved in a merger, acquisition, or sale of all or a portion of its assets,  you will be notified via email and/or a prominent notice on our Web site of any change in ownership or uses of your personal information, as well as any choices you may have regarding your personal information,

 

Information about Former Investors

Price Capital does not disclose, and does not intend to disclose, non-public personal information to non-affiliated third parties with respect to persons who are no longer our clients.

 

User Access and Choice

If your personal information changes you may correct, update, or amend it by making the change on your user account settings page, by emailing our Customer Support at support@pricecapitalcorp.com or by contacting us by telephone or postal mail at the contact information listed below.  If you no longer desire our service, please contact us directly using one of the previously listed methods.  We will respond to your request within 30 days.

We will retain your information for as long as your account is active or as needed to provide you services.  We will retain and use your information as necessary to comply with our legal obligations, resolve disputes, and enforce our agreements.

If you wish to subscribe to our newsletter(s), we will use your name and email address to send the newsletter to you.  Out of respect for your privacy, you may choose to stop receiving our newsletter or marketing emails by following the unsubscribe instructions included in these emails, accessing the email preferences in your account settings page or you can contact us at support@pricecapitalcorp.com.

Tracking Technologies/Cookies

A cookie is a small text file that is stored on a user’s computer for record-keeping purposes. We use cookies on this site.  We do not link the information we store in cookies to any personal information you submit while on our site.

We use session ID cookies.  A session ID cookie expires when you close your browser.  It’s used while you’re logged in to maintain your logged-in state.  For more information on cookies, please click here.  If you reject cookies, you may still use our site, but your ability to use some areas of our site will be limited.

WEB BEACONS/GIFs

We employ a software technology called clear gifs (a.k.a. Web Beacons), that help us better manage content on our site by informing us what content is effective.  Clear gifs are tiny graphics with a unique identifier, similar in function to cookies, and are used to track the online movements of Web users.  In contrast to cookies, which are stored on a user’s computer hard drive, clear gifs are embedded invisibly on Web pages and are about the size of the period at the end of this sentence. We do not tie the information gathered by clear gifs to our customers’ personally identifiable information.

ANALYTICS/LOG FILES

As is true of most web sites, we gather certain information automatically and store it in log files.  This information includes internet protocol (IP) addresses, browser type, internet service provider (ISP), referring/exit pages, operating system, date/time stamp, and clickstream data.  We use this information, which does not identify individual users, to analyze trends, to administer the site, to track users’ movements around the site and to gather demographic information about our user base as a whole.  We do not link this automatically-collected data to personally identifiable information.

FLASH LSOs

We use local shared objects, also known as Flash cookies, to store your preferences such as volume control or high game score, or display content based upon what you view on our site to personalize your visit.  Third Parties, with whom we partner to provide certain features on our site or to display advertising based upon your Web browsing activity, use Flash cookies to collect and store information.

Flash cookies are different from browser cookies because of the amount of, type of, and how data is stored.  Cookie management tools provided by your browser will not remove Flash cookies.  To learn how to manage privacy and storage settings for Flash cookies click here:  http://www.macromedia.com/support/documentation/en/flashplayer/help/settings_manager.html#117118

3RD PARTY TRACKING

The use of tracking technologies by our service providers, technology partners or other 3rd party assets (such as social media) on the site is not covered by our privacy policy.  These 3rd parties may use cookies, clear gifs, images, and scripts to help them better manage their content on our site.   We do not have access or control over these technologies.  We do not tie the information gathered to our Customers’ or Users’ personally identifiable information.

BEHAVIORAL TARGETING/RE-TARGETING

We partner with a third party ad network to either display advertising on our Web site or to manage our advertising on other sites.  Our ad network partner uses cookies and Web beacons to collect non-personal information about your activities on this and other Web sites to provide you targeted advertising based upon your interests.  If you wish not to have this information used for the purpose of serving you targeted ads, you may opt-out by clicking Here.  Please note this does not opt you out of being served advertising.  You will continue to receive generic ads.

Confidentiality and Security

Our employees are advised about the firm’s need to respect the confidentiality of our customers’ non-public personal information.  The security of your personal information is important to us.  When you enter sensitive information (such as a credit card number, or log-in information) on our website, we encrypt the transmission of that information using secure socket layer technology (SSL).  Additionally, we maintain physical, procedural, and electronic safeguards in an effort to protect the information from access by unauthorized parties.  No method of transmission over the Internet, or method of electronic storage, is 100% secure, however.  Therefore, we cannot guarantee its absolute security. If you have any questions about security on our Web site, you can contact us at support@pricecapitalcorp.com.

Links to 3rd Party Sites

Our Site includes links to other Web sites whose privacy practices may differ from those of Price Capital.  If you submit personal information to any of those sites, your information is governed by their privacy policies. We encourage you to carefully read the privacy policy of any Web site you visit.

Our Web site also includes Social Media Features, such as the Facebook Like button and Widgets, such as the Share this button or interactive mini-programs that run on our site. These Features may collect your IP address, which page you are visiting on our site, and may set a cookie to enable the Feature to function properly. Social Media Features and Widgets are either hosted by a third party or hosted directly on our Site. Your interactions with these Features are governed by the privacy policy of the company providing it.

Our Blog

Our Web site offers a publicly accessible blog.  You should be aware that any information you provide in these areas may be read, collected, and used by others who access them.  Anytime you post on our blog please be aware that you are posting using a third party application and we have no access or control over this information.  To request removal of your personal information from our blog, you can both log into the third party application and remove your comment or you can contact the appropriate third party application. Your interaction with these features is governed by the privacy policy of the company providing it.

Referrals

If you choose to use our referral service to tell a friend about our site, we will ask you for your friend’s name and email address.  We will automatically send your friend a one-time email inviting him or her to visit the site.  Price Capital stores this information for the sole purpose of sending this one-time email and tracking the success of our referral program.  Your friend may contact us at support@pricecapitalcorp.com to request that we remove this information from our database.

We’ll Keep You Informed

We will send you notice of our privacy policy annually for as long as you maintain an ongoing relationship with us. If we make any material changes we will notify you by email (sent to the e-mail address specified in your account) or by means of a notice on this Site prior to the change becoming effective.  Periodically we may revise our privacy policy, and will provide you with a revised policy if the changes materially alter the previous privacy policy. We will not, however, revise our privacy policy to permit the sharing of non-public personal information other than as described in this notice unless we first notify you and provide you with an opportunity to prevent the information sharing.  We encourage you to periodically review this page for the latest information on our privacy practices.

Contact Us

Price Capital LLC
Bank of America Center
700 Louisiana St Suite 3950
Houston, TX 77002
Email Address:  support@pricecapitalcorp.com


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