The hiring of your Financial Advisor is an important decision with many contributing factors. Before you hire someone to manage your finances, always ask for and carefully read both parts of the Advisor’s Form ADV.
Advisors use Form ADV to register as an investment advisor with the SEC and State government. Form ADV has two parts. Part One contains information about the Advisor’s education as well as their business and disciplinary history accrued within the last decade. Part Two includes pertinent information regarding an adviser’s services, fees, and investment strategies.
We at Foundation Wealth Management would be happy to provide you with a copy of our ADV upon request.
Maintaining your privacy is important to Foundation Wealth Management LLC (FWM). Therefore, we take every reasonable precaution to safeguard your personal information from unauthorized access. Your relationship with us is built on trust and our goal is to preserve that trust. Therefore, we are committed to keeping your personal information safe and secure.
The FWM Privacy Assurance
We do not sell your personal information
Categories of Non-Public Information Collected
We collect information such as name, date of birth, address, email address, SSN, phone number, bank account information and account activity. This information is collected as part of the new client set up process. FWM limits the use of your information to what is necessary to perform the following: fulfill legal and regulatory requirements; provide you with superior service; and process transactions in your account.
Categories of Nonpublic Information Disclosed
FWM may share nonpublic personal information with our affiliates when managing accounts on your behalf or as otherwise permitted by law. This includes information such as name, date of birth, address, SSN, account activity and account balances.
Categories of Affiliates and Non-Affiliated Third-Parties to Whom Information is Disclosed
The types of third parties with whom FWM shares information include institutions utilized by FWM in the normal course of providing investment advisory services. These included institutions such as investment advisors, transfer agents, custodians and other service providers may be utilized to facilitate the management of your account(s). FWM protects this shared information with strict confidentiality agreements that require that the service providers keep the information strictly confidential and use it only for its intended purpose. FWM does not disclose, and does not intend to disclose, nonpublic personal information to any non-affiliated third parties except as may be required by law.
Categories of Non-Public Personal Information Disclosed about Former Investors
FWM does not disclose, and does not intend to disclose, nonpublic personal information with respect to persons who are no longer investors.
Right to opt out
FWM does not sell or distribute nonpublic information to any third party non-affiliates. If, in the future, our business would direct us to do so, you will be notified and given the opportunity to opt out of having this information shared.
Confidentiality and Security
FWM restricts access to your nonpublic personal information to only those employees who need to be aware of the information in order to provide products or services to you. We maintain physical, electronic and procedural safeguards to protect your nonpublic personal information.
FWM reserves the right to amend this policy at any time. However, you will be notified promptly of any changes to this policy by U.S. mail.