This message contains confidential information intended for the exclusive use of the entity to which it is addressed. The information contained in this message is not to be reproduced or redistributed without the express consent of the sender. If you are not the intended recipient, please do not view, copy or distribute this information. Please notify the sender, by electronic mail or telephone, of any unintended recipients and delete the original message without making any copies.
The information in this message is not meant to be exhaustive nor is it guaranteed to be secure or error-free. Stanwich Advisors, LLC (SA) does not guarantee the accuracy of any statements, qualitative or numerical, contained herein. Any offer to sell securities in any fund will be made only by the confidential offering materials of the applicable fund. This message is provided for informational purposes only and should not be construed as a solicitation or offer to buy or sell any securities or related financial instruments.
Stanwich Advisors, LLC believes it is essential that we maintain the privacy of the nonpublic personal information that you provide to us and that we obtain in connection with providing our products and services to you. Stanwich Advisors, LLC has a standing policy of protecting the confidentiality and security of information we collect about our clients. We will not share non-public information about our clients ("Information," as further described below) with third parties, except for the specific purposes described below. This notice describes the Information we may gather and the circumstances under which we may share it.
Stanwich Advisors, LLC limits the use, collection, and retention of such information to what we believe is necessary or useful to conduct our business and to provide and offer you quality products and services, as well as other opportunities that may be of interest to you. Information collected may include, but is not limited to name, address, telephone number, tax identification number, date of birth, employment status, annual income, and net worth for individuals and other identifying documentation for institutions.
In providing products and services to you, we collect nonpublic personal information about you from the following sources:
Because we must maintain accurate records, Stanwich Advisors, LLC has established procedures to maintain the accuracy of your information and to keep such information current and complete. If our clients desire to review any file we may maintain, please contact us. If our clients notify us that any Information is incorrect, we will review it and make revisions as appropriate. Information collected in connection with, or in anticipation of, any claim or legal proceeding may not be made available.
Stanwich Advisors, LLC places strict limits on who receives specific information regarding your personally identifiable data. As a rule, we do not disclose nonpublic personal information we collect to others. However, because we rely on certain third parties for services that enable us to provide our advisory services to you, such as our attorneys, auditors, other consultants, brokers, and custodians who, in the ordinary course of providing their services to us, may require access to information, we may share non-public personal information with such third-parties. Additionally, we will share such information where required by legal or judicial process, such as a court order, or otherwise to the extent permitted under the federal privacy laws.
Our employees are required to protect the confidentiality of Information and to comply with our established policies. They may access Information only when there is an appropriate reason to do so, such as the execution of transactions on behalf of our clients. We also maintain physical, electronic and procedural safeguards to protect Information, which comply with Federal standards. Employees who violate our Privacy Policy are subject to internal disciplinary actions and, as appropriate, legal sanctions. Disposal of any paper document with confidential client Information is shredded. Our employees are instructed, continuously reminded and trained to safeguard all confidential client Information.
We may also disclose such information to others upon your instructions below listing applicable persons and you may amend this provision, and/or rescind your request at any time in writing. Your signature below indicates your understanding and acceptance that we may share such information.
We restrict access to nonpublic personal information about you to those employees who need access to such information in order to provide our products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information. Even if you are no longer have a relationship with Stanwich Advisors, LLC and we no longer provide services to you our Privacy Policy will continue to apply to you.
Stanwich Advisors, LLC reserves the right to change these Privacy Principles, and any of the policies or procedures described above, at any time without prior notice. However, you will be promptly provided with a current copy of our privacy notice upon material changes or upon request. So long as you remain an active customer, you will receive a current copy of our privacy notice at least annually. These Privacy Principles are for general guidance and do not constitute a contract or create legal rights, and do not modify or amend any agreements we have with you. The examples contained within this Privacy Policy are illustrations and they are not intended to be exclusive. This notice complies with a recently enacted Federal law and new SEC regulations regarding privacy. You may have additional rights under other foreign or domestic laws that may apply to you.
If you have questions about this privacy policy, or if you wish to amend or rescind your written instructions below at any time, please contact Mr. Timothy Cohan, the Chief Compliance Officer at 203-406-1099.
View our Privacy Policy as a PDF
Stanwich Advisors, LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contacting Us
If after a significant business disruption you cannot contact us as you usually do at 203-406-1099 or tcohan@stanwichadvisors.com, you should call our alternative number 917-921-5372. If you cannot access us through either of those means, you should contact the entities that you have invested in directly for instructions on how you may access investment information, invest additional funds and or provide you with prompt access to funds and securities.
Our Business Continuity Plan
We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records and providing information to our investor’s/fund managers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with investors, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact and regulatory reporting; and assuring our investor’s/fund managers prompt access to their investments if we are unable to continue our business.
Since you invest directly, the entities that you have invested in are responsible for those records they maintain on your behalf. Additionally, when you invest with our assistance, we take steps to assure that you have paper or electronic copies of everything that you have signed and or obligated yourself to, which results in your having access to essentially the same records as the Firm, should you be unable to contact us during an emergency situation. Finally, while most transactions done through us are not time sensitive, every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption. Thus, while each entity with which you have invested desires to restore its own operations and be able to complete existing transactions and accept new transactions and payments within a short period of time, your information could be delayed during this period.
Varying Disruptions
Significant business disruptions can vary in their scope, such as only our Firm, a single building housing our Firm, the business district where our Firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our Firm or a building housing our Firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 2 business days. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 5 business days. In either situation, we plan to continue in business, and notify you through our emergency number, (203) 249-5939 on how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our investor’s/fund managers prompt interface with the respective companies and entities that have provided investment products to you, through us.
For More Information
If you have questions about our business continuity planning, you can contact us at Stanwich Advisors, LLC, One Dock Street, Stamford, CT 06902 If you would like to receive a copy of our plan please send a written request to Stanwich Advisors, LLC, Technology Dept., One Dock Street, Stamford, CT 06902. This plan is subject to modification and investor’s/fund managers may obtain updated summaries by requesting a written copy by mail. (revised 7/11).
Privacy Statement
We collect non-public personal information about you from the following sources: Information from your application or other forms; information about your transactions with our affiliates, others; or us and information we may receive from consumer reporting agency. We do not disclose any nonpublic personal information about our customers or former customers to any one, except as permitted by law. We restrict access to your personal and account information to those employees and our affiliates who need to know that information to provide products and services to you. We maintain physical, electronic, and procedural safeguards to guard your non-public personal information. Please be advised that when disposing of any document with your personal information it is electronically shredded. Please refer to our full Privacy Policy.
Business Continuity
During times of local or national emergencies, the office may be closed and every attempt to return to normal business operation will be made. Our Business Continuity Plan addresses varying degrees of business disruption. Telephone calls to the office’s main telephone number will be individually forwarded to a remote location for handling. To contact us, please dial 203-406-1099 or check our website for alternative access information. Our Business Continuity Plan is subject to modification, and any updates will be posted on our website. If a customer, subscriber or issuer would like to receive a copy of our plan please send a written request to Stanwich Advisors, LLC, One Dock Street, Stamford, CT 06902.
Customer Identification
Program Important Information About Procedures for Establishing a Relationship with our firm: To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each investor in client funds. What this means for you: When you establish a relationship with the firm, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver’s license or passport for individuals and other identifying documents for institutions.
FINRA BrokerCheck
FINRA BrokerCheck allows investors to learn about the professional background, business practices, and conduct of FINRA member firms or their brokers. The telephone number of the FINRA BrokerCheck is 800-289-9999, the website address http://www.finra.org. An investor brochure is also available upon request.
Complaints
Complaints regarding your relationship with the firm may be directed to Stanwich Advisors, LLC, One Dock Street, Stamford, CT 06902, 203-406-1099, Attention: Compliance Department.
FINRA Rule 2261
The Statement of Financial Condition is available to the firm’s customers. If you would like to request a copy please do so in writing and contact Stanwich Advisors, LLC, One Dock Street, Stamford, CT 06902, 203-406-1099 (revised 6/11).
