MATH + CHEMISTRY

Our firm is well beyond a collection of Wall Street alums: we’re a close-knit team of financial engineers—mathematicians, data scientists, investment strategists and researchers deeply committed to delivering superb client experience and consistent performance.

Our team

ARE THE STRENGTH.

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SCIENCE AND RESEARCH

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02 / 04

ADVISORY AND DEVELOPMENT

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03 / 04

ADVISORY AND DEVELOPMENT

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04 / 04

MATH + CHEMISTRY

Our firm is well beyond a collection of Wall Street alums: we’re a close-knit team of financial engineers—mathematicians, data scientists, investment strategists and researchers deeply committed to delivering superb client experience and consistent performance

Our Team

ARE THE STRENGTH.

SCROLL

SCIENCE AND RESEARCH

Sam Pfister

PARTNER / DIRECTOR OF ANALYSIS

As Director of Analysis, Sam develops and maintains proprietary statistical software systems to enable efficient, accurate and customizable portfolio construction. Sam’s extensive experience at NASA and Cal Tech anchors the foundation of CCA’s technology platform.

Prior to joining Checchi Capital Advisers, Sam was a postdoctoral researcher at the California Institute of Technology and a technical lead in the government-sponsored DARPA Grand Challenge autonomous vehicle competition. He was a doctoral student at Caltech, earning his Ph.D. for development of algorithms to enable robust statistical sensor processing in robotic applications. Sam also worked on the Mars Exploration Rover mission run by NASA’s Jet Propulsion Laboratory. During operations, he developed tools and techniques to model uncertainty and reduce risk and improve overall Rover operational efficiency.

Sam received a Bachelor of Science degree from Harvard University, and a Master of Science and Ph.D. in Mechanical Engineering from the California Institute of Technology. Sam is married with one child.

Lawrence Walter

SENIOR DEVELOPER / DATA

As a Senior Developer with primary responsibilities over CCA’s databases, Larry focuses on the design and maintenance of the firm’s data and software systems. He manages all aspects of CCA’s data requirements and is an architect of the firm’s proprietary order management and trading system. Larry’s experience in technology companies both as a consultant and entrepreneur drives CCA’s innovative data management process.

Before joining Checchi Capital Advisers, Larry was a Senior Engineer at Technical Systems and consultant to Vivendi Universal Net, where he provided lead technical and logistical services. Prior to his work at Technical Systems, Larry was a key consultant and engineer at Little Consulting, a boutique consultancy. During his career, he has built complex transactional systems, complete web-based products and destinations, resilient, enterprise-grade databases and complete IT infrastructures. Prior to Little Consulting, Larry acted as an Engineer for General Facilities, where his responsibilities included creating and checking detailed engineering plans and support of general technical infrastructure.

Larry holds a Bachelor’s degree in Computer Science and Computer Engineering from the University of Southern California. He is a Los Angeles resident.

Gregoire Lepoutre

Director of Research and Engineering

Gregoire is Director of Research and Engineering at CCA, responsible for overseeing investment research, research tools, and systematizing the research process at CCA.

Prior to joining CCA, Gregoire was a Researcher at Bridgewater Associates, the world’s largest hedge fund, in Westport, CT. At Bridgewater, he was responsible for producing the research and analytics supporting Bridgewater’s flagship publication, the Daily Observations©. Gregoire worked in Bridgewater’s research department for five years, specializing in data, systematic investing and engineering. Gregoire started his career at Schlumberger, where he joined the selective Tech & Field program, which sent him to various drilling rigs in Siberia and the Middle East.

Gregoire is originally from France, and holds a Master’s in Electric and Computer Engineering from Ecole Superieure d’Electricite (Supelec), and a Master of Arts in Mathematics of Finance from Columbia University. He lives in Santa Monica with his wife and son.

Sukaya Nawpar

DATABASE ENGINEER

Sukaya Nawpar is a Database Engineer at CCA, where he responsible for database architecture and reporting.

Sukaya has over 10 years of experience teaching database development and over 20 years of experience as a software developer, database administrator, database architecture and quantitative developer. Prior to CCA, Sukaya worked at Wilshire Associates, specifically working with the manager research teams and fund management teams to develop and design databases, data warehousing, reporting, and quantitative modules. Over his career, Sukaya has also worked with other well-known financial and insurance companies including Answer Financial and A-Mark Precious Metals.

Sukaya earned his B.Sc. (Hons) and M.Sc. in Mathematics from the Rangoon University in Burma.

Michael Samuels

Data Scientist

Mike is a Senior Data Scientist at CCA, responsible for conducting investment research, developing and refining research tools and methodology, and systematizing CCA’s investment tools and processes.

Mike spent the first few years of his career as an analyst at the J.P. Morgan Private Bank in San Francisco, where he helped some of the bank’s wealthiest clients with their banking, investing, credit, and estate planning needs. He partnered with the banking and investing teams on a variety of tasks including client performance reviews, investment implementation plans, charitable giving solutions, as well as bespoke analyses and ad hoc client requests. He collaborated with Michael Cembalest, J.P. Morgan Asset Management’s Chairman of Market and Investment Strategy, and his team on a white paper on the risks associated with concentrated stock ownership.

After leaving J.P. Morgan, Mike worked as a data analyst and consultant, first spending time analyzing the volatility markets and later helping a newly formed credit hedge fund with their data needs. He moved back home to Los Angeles a few years ago to work at AdColony, where he worked under the CFO as a senior financial planning and analysis manager, helping AdColony with their forecasting, budgeting, planning, and strategy.

Mike studied Math and Economics at Stanford University, where he also earned his Master’s in Management Science and Engineering and was the Stanford Tree from 2011-2012.

Rita Sachechelashvili

SOFTWARE DEVELOPER

Rita is a Software Developer at CCA, responsible for financial asset data management, analysis, visualization, and modeling.

Before joining CAA, Rita served as a Chief Technology Specialist at Mariner West, where she was in charge of the company’s digital operations. During her time at Chapman University, Rita took part in managing the school’s multimillion-dollar investment portfolio and made trading decisions utilizing financial analysis and data tools such as Bloomberg. Rita also developed a several programming projects specifically applications that interact with MySQL databases.

Rita graduated with a triple major in Business Finance, Computer Information Systems, and Political Science from Chapman University. She lives in Los Angeles and is fluent in Russian.

Terry Burnham

ADVISORY ECONOMIST

Terry is an Associate Professor at Chapman University in Orange, CA. Before joining the faculty at Chapman, Terry was a professor at Harvard’s Kennedy School, the University of Michigan, and the Harvard Business School.

From 2005-2011, Terry was the Director of Economics, and Director, Portfolio Management at Acadian Asset Management, a Boston-based institutional equity manager. While Terry was at Acadian he oversaw portfolios with over $90 Billion in assets under management. Terry has worked, or consulted, for a variety of other firms including Goldman, Sachs & Co., and Deutsche Bank.

Terry was the President and Chief Financial Officer of Progenics Pharmaceuticals, Inc., then a start-up biotech company. While CFO, Terry raised the several early rounds of private financing for Progenics, which is now publicly traded (symbol PGNX).

Terry is the co-author of Mean Genes, and the author of Mean Markets and Lizard Brains: How to Profit From the Science of Irrationality. He writes regularly for the PBS Making Sen$e page, and has appeared on CNBC, The Lehrer NewsHour, and Bloomberg TV.

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ADVISORY AND DEVELOPMENT

Adam Checchi

MANAGING PARTNER / PORTFOLIO MANAGER

As Managing Partner, Adam oversees the management of CCA, coordinating operations, trade execution and marketing, with specific focus on product development and direct sales. Adam founded CCA to provide the most comprehensive investment solution for consumers, starting with his own family’s estate.

Before founding CCA, Adam was a partner at Airline Restructuring and Consolidation (“ARC”) Partners, a restructuring group that launched a bid to merge Northwest Airlines and Delta Airlines in bankruptcy. Prior to ARC, Adam was an investment banker with Goldman, Sachs & Co. in Los Angeles, where he executed high-yield debt financings for corporations and private equity funds. Before joining Goldman, Adam was a senior analyst at Entertainment Media Ventures, a media and technology-focused venture capital firm, and a mergers and acquisitions analyst at the Walt Disney Company.

Adam is a graduate of Harvard University. He received a Master’s in Business Administration from the Harvard Business School and was recognized as a Baker Scholar. He was also the recipient of the Loeb Award given for the most outstanding performance in finance. Adam currently serves on the board for the Young President’s Organization (Los Angeles Chapter), Fergus Reinsurance Holdings, Ltd., VRGL, Inc., and The John Thomas Dye School. Adam is married with three children.

Kathryn Checchi

PARTNER

As a Partner, Kathy oversees all aspects of firm administration. She is also actively involved in marketing strategy and the development and execution of firm growth initiatives.

Kathy has been actively managing all aspects of tax planning and asset management for the Checchi family since 1982. Prior to that, she practiced law in Washington, DC in the areas of Tax and Estate Planning. She currently serves on the Leadership Foundation Board of the International Women’s Forum, an organization comprised of accomplished women in 33 countries. She was formerly Co-Chairman of the Committee for the Harvard University Graduate School of Arts and Sciences, and an Advisory Board Member for the Harvard Business School. She has also been an Advisory Board Member for Georgetown University and a Trustee of the Harvard-Westlake School.

Kathy holds a Law degree from Georgetown University and a Master’s degree from Harvard University. She received the Distinguished Alumnae Award from Georgetown Law School. Kathy is married with three children.

Haiyang Zhang

CHIEF OPERATING OFFICER

As Chief Operating Officer, Haiyang oversees strategic planning, sales and marketing, and key partnerships at CCA. Haiyang has over 13 years of experience in the financial industry, specializing in advice for ultra-high-net-worth clients.

Previously, Haiyang was the Director of Marketing and Relationship Management at CCA, where he managed product marketing, firm branding, and client relationships. Prior to joining CCA, Haiyang worked in Capital Advisory at J.P. Morgan Private Bank in Los Angeles, where he managed the $1bn+ lending portfolio and performed risk and credit analysis to deliver customized financing solutions for clients. Haiyang started his career at J.P. Morgan Private Bank focusing on security analysis and portfolio allocation for individual investors, foundations and private investment companies. Haiyang is currently the Director of Financial Literacy and Senior Programs at Minds Matter Los Angeles, an educational non-profit helping high-achieving students from low-income families prepare for college.

Haiyang received a Bachelor’s degree with honors from Claremont McKenna College in Philosophy, Politics and Economics. Haiyang holds the Series 7, 63 and 65 securities licenses. He is a Pacific Northwest native and lives in Culver City with his wife, Karli, and their dog, Sherman.

David Marquart

MANAGING DIRECTOR

As a Managing Director at Checchi Capital David specializes in advising small institutions and high net worth individuals with concentrated stock positions.

The foundation of David’s career took place as a Portfolio Manager in New York designing and implementing option-focused strategies at prominent hedge funds, including Capstone, a $7.5 billion volatility arbitrage hedge fund. He went on to design and implement various volatility-related strategies at two other prominent hedge funds, before founding his own, Marquart Capital, in 2015. Earlier in his career, David traded high-frequency strategies across global markets for a London-based hedge fund, IV Capital. He has contributed to several articles on a range of investment-related topics and, at the age of 27, he began being regularly featured in Business Insider as one of “Wall Street’s Brightest Minds.” David holds a Bachelor of Science in Finance from the University of Maryland as well as his Series 7, 63, & 65 licenses.

David is passionate about applying his background in quantitative finance to his personal values. He serves as the Chief Investment Officer on the Board of Directors for the Hermosa Beach Education Foundation and sits on the Advisory Board for Sea Shepherd Conservation Society. He has also served on the Wall Street Associates committee for St. Jude Children’s Research Hospital, as a Big Brother for Big Brothers Big Sisters of New York City, and as a tutor for high school students in Compton, CA. He grew up in Dayton, MD and resides in Hermosa Beach, CA with his son, Wyatt (5), and daughter, Coco (3).

Bob Robinson

Managing Director

As a Managing Director at Checchi Capital, Bob focuses on helping clients and their families develop customized solutions as a fiduciary.

Bob has extensive experience in investment management, business development, real estate, and lending. Prior to joining CCA, Bob joined Silicon Valley Private Bank after successful stints at Oppenheimer and BNY Mellon, where he provided investment management and wealth and estate planning to successful entrepreneurs, family offices, corporate plans, endowments, and foundations. Bob also previously served as Managing Director at the Welton Investment Corporation, an alternative investment manager specializing in managed futures, currency, and global macro strategies. Bob began his career as Vice President of West Coast Wire & Steel, a family-owned company in Riverside, CA.

Bob is a graduate of the University of California, Los Angeles, and is very active in several alumni and mentor programs where he provides mentorship to UCLA athletes and students in the Sharpe Fellowship Program through the UCLA Economics department. Bob and his wife have three children and currently live in Pacific Palisades.

Robert Bodner

Vice President of Development

As a Vice President of Development, Robby focuses on advising individuals and families with investments and tax related issues.

Prior to joining Checchi Capital in March 2022, Robby was a full-time student in the MBA Program at USC’s Marshall School of Business. During his MBA, he worked at Green Harvest Asset Management concentrating on tax-loss harvesting strategies for high-net-worth individuals. He also spent time at Thames Capital Management, an investment management firm specializing in absolute return long/short equity strategies. Robby previously spent five years working in the Sports & Entertainment industry at Creative Artist Agency and Endeavor. He was responsible for working across brand partnerships for talent as well as properties such as UFC, The Masters, PGA Tour, and IMG Academy.

Robby is originally from Livingston, NJ. Outside of the office, Robby is an avid golfer, enjoys hiking and spending time with his dog, Maui. He also holds a Bachelor of Science in Finance from Syracuse University as well as his Series 65 license.

Gabriele Gasafy

DIRECTOR OF PRODUCT EXECUTION

Gabi is the Director of Product Execution at Checchi Capital Advisers and oversees trading, performance tracking and reporting. Gabi has extensive operations and trade management experience.

Prior to joining CCA, Gabi was the New Accounts Operations Manager at MB Trading Futures Inc in El Segundo, CA. She supervised the New Accounts Department and was part of the Operations Team. Before becoming Operations Manager, Gabi oversaw multiple new developments as Project Manager.

Gabi moved to the US after graduating from the University of Munich with a degree in Business Administration in 2003. She previously worked in Risk Analysis for several Asset Management Companies in Germany. Gabi is a Munich native and lives in Santa Monica.

Delia Mupita

CHIEF COMPLIANCE OFFICER AND DIRECTOR OF CORPORATE SERVICES

Delia is the Chief Compliance Officer and Director of Corporate Services at Checchi Capital Advisers. She oversees and maintains all firm SEC compliance, and is responsible for managing the firmwide processes for protecting client personal and private data and their rights associated with that data. These responsibilities include compliance with the appropriate and applicable regulatory regimes. Delia also oversees the financial management operations of the company and manages the firm’s personnel and office administration.

Delia has over a decade of experience working in financial services, focusing on client relationship management. Prior to joining CCA, Delia was an Investment Associate at Badgley Phelps Wealth Managers in Seattle. She oversaw new client accounts and gained investment operational experience working with institutional and high net-worth private clients. Delia has also worked as a legal assistant for Winterbauer & Diamond, PLLC and the Washington State Bar Association in Seattle. Prior to moving to the United States, she worked in Zimbabwe at Scanlen & Holderness and Atherstone & Cook Legal Practitioners, in their respective litigation departments.

Delia graduated from the University of Washington, in Seattle, with a Bachelor’s degree in Business Administration, Finance concentration. She has written for the University of Washington’s Literary and Arts Journal. Originally from Zimbabwe, Delia currently resides in Los Angeles.

Elena Israel

DIRECTOR OF OPERATIONS

As a Director of Operations, Elena oversees all aspects of client operations and strategic development of workflows and internal processes that ensure superior client experience. Elena has over 10 years of experience in wealth management with a focus on operations and client relationship support.

Prior to joining CCA in July 2021, Elena was a Director of Client Relationship Services at EP Wealth Advisors where she had oversight over the department’s strategic planning and focused on creating and implementing internal policies and procedures that supported client service excellence. Elena was also a co-chair of the Investing in Women Initiative of EPWA. She started her career at EPWA as an operations associate providing advisor support and managing client relationships.

Elena earned a bachelor’s degree in Finance from Tyumen State University in Russia before moving to California in 2009. She lives in Westchester and in her spare time enjoys hiking, going to the beach and spending time with her husband and son.

Elena is passionate about supporting women in the financial services industry and inspiring young professionals to have fulfilling careers in wealth management.

Lisa Sandoval

VICE PRESIDENT OF PRODUCT EXECUTION

Lisa is the Vice President of Product Execution at CCA, focusing on product execution, trading, and client relationship management.

Prior to joining CCA. Lisa was an Investment Operations Associate at Prudential Financial, where she provided daily management of Executive Benefit Plans. Lisa’s responsibilities included benefit plan implementation, account funding, and trading. Lisa also produced the portfolio performance reports and assisted her clients in understanding their performance to make sure their investment goals were being met. Lisa started her career at HSBC Bank where she held positions that exposed her to investments and financial planning.

Lisa earned a Bachelor of Arts degree in Business Economics from University of California, Santa Barbara. Her hobbies include mountaineering, scuba diving, and reading. Lisa is a Los Angeles native.

Marina Hirokane

VICE PRESIDENT OF MARKETING AND RELATIONSHIP MANAGEMENT

Marina is the Vice President of Marketing and Relationship Management, responsible for firm marketing and branding, managing portfolio analysis, and key client relationships.

Prior to joining CCA, Marina was a Commercial Finance Associate at California First National Bank, a commercial bank located in Irvine, California, where she managed multiple client accounts, focusing on commercial loan origination. Marina graduated from the University of California, Irvine in 2016 with a degree in Business Economics and minor in Business Management. During her time at UCI, she was an Operations Manager at the Anteater Recreation Center, and submerged herself in various different internships and activities. These included wealth management, marketing, and data analysis.

Marina is originally from Honolulu, Hawaii. She has volunteered at Minds Matter of Los Angeles and beach cleanups. She currently resides in Culver City and enjoys yoga, running, and spending time outdoors.

Stephanie De Wyn

SENIOR INVESTMENT ASSOCIATE

Stephanie is a Senior Investment Associate at CCA, responsible for trading, account opening, and client requests.

Prior to joining CCA, Stephanie was a Client Services Associate at Raymond James Financial Services in El Segundo, California, where she managed books of business for multiple advisers and handled client correspondence. Stephanie started her career in finance as an administrative assistant at Anchor Capital Management Group where she was exposed to the client services side of the business. She graduated from Azusa Pacific University and received her Bachelor of Arts degree in Liberal Studies.

Stephanie is originally from Las Vegas, NV and now resides in Los Angeles. Out of the office she enjoys hiking, painting and spending time with family and friends.

Luca Pasquini

INVESTMENT ASSOCIATE

Luca is an Investment Associate at CCA, responsible for account opening, portfolio analysis, and client requests.

Prior to joining CCA, Luca was an Associate at LPL Financial in Fresno, California, where he was responsible for marketing campaigns, equity analysis, research projects, and client correspondence. Luca graduated from San Jose State University in 2018 with a Bachelor of Science degree in Economics. Luca also completed his Master of Science degree in Finance from Saint Mary’s College of California in 2020. Luca’s prior experience and education helped him develop a passionate interest in markets and the financial services industry.

Luca is originally from Fresno, California. Out of the office, he enjoys golfing, playing basketball and spending time with his girlfriend and their cat.

Kevin Kiely

INVESTMENT ASSOCIATE

Kevin is an Investment Associate at CCA, responsible for managing account opening, account maintenance, and client requests.

Prior to joining CCA, Kevin was a tax consultant at Deloitte in Los Angeles, California where he was responsible for tax compliance, structuring, and research for asset management firms in public and private markets. Kevin’s experience working with asset management firms prompted him to pursue a career in finance and wealth management at CCA. Kevin graduated from Southern Methodist University in 2019 with a BBA in accounting.

Kevin is originally from Orange County, CA and now resides in Redondo Beach. Outside of the office, he enjoys traveling and spending time with family and friends.

Shane Levi

INVESTMENT ASSOCIATE

Shane is an Investment Associate at CCA, responsible for managing account opening, account maintenance, and client requests.

Prior to joining CCA, Shane was an Operations Associate at SS&C Technologies in New York, where he provided trade and administrative support to east coast-based hedge funds. Shane’s responsibilities included conducting reconciliations of client funds, processing money movements, and managing an international team to provide trade and audit support. Shane received his Bachelor of Science from Fairfield University in Connecticut majoring in Finance with a concentration in Economics.

Shane is originally from New Jersey, and currently resides in Los Angeles. Out of the office, Shane enjoys bike riding, attending concerts and playing volleyball.

Brian Shortsleeve

Senior Operations Associate

Brian is an Senior Operations Associate at CCA, responsible for managing account opening, account maintenance, and client requests.

Prior to joining Checchi, Brian worked directly for the co-founder EP Wealth Advisors, managing client service and support for a $1bn book of business. Before that, Brian took a slight detour from his career in financial services, working as a screenwriter in Los Angeles for several years. Originally from Massachusetts, Brian began his career working for Fidelity Investments in their retirement planning group.

Brian graduated from Providence College before moving to Los Angeles where he met his wife, Amanda. Last year they welcomed their first child, Evan. Outside of work, Brian enjoys playing basketball, hiking, golf, creative writing, and spending time with his rescue dog, Archie.

James Kenyon

Investment Associate

James is an Investment Associate at CCA, responsible for trade execution, account maintenance, and client requests.

Prior to joining CCA, James was an Operations Analyst at iTrust Capital LLC in Irvine, California, where he was responsible for the design and implementation of outflow protocols of various digital assets, workflow optimizations, portfolio analysis and data cleaning. James completed his undergraduate degree at Newcastle University in 2021, attaining a BSc in Business Management and Marketing. Whilst completing his undergraduate degree James studied abroad at Norges Handelshøyskole (NHH) in Bergen, Norway, completing a host of modules in banking, finance and financial technology, in addition to spending his final year in Berlin, Germany, where he completed crucial research contributing towards his thesis on the impact of Blockchain within the Recorded Music Industry.

James is originally from Manchester, UK, and now resides in Newport Beach, California. In his spare time he enjoys traveling, golfing, surfing, and spending time with family and friends.

Courtney Benjamin

Office Manager

Courtney is the Office Manager at CCA, responsible for maintaining and ensuring that the office runs smoothly for our team and our clients. Prior to joining CCA, Courtney worked as a Legal Assistant at Asher Law Group in Century City, California, where she prepared complex legal documents and supervised general office duties such as managing schedules and work processes for the team of legal professionals. Courtney began her professional career in administration at the luxury resort, San Ysidro Ranch in Montecito, California. She graduated from University of California, Santa Barbara and received her Bachelor of Arts degree.

Courtney now lives in Culver City, California. Out of the office, she spends her time discovering new movies and enjoys dinners out at the many fine restaurants that Los Angeles has to offer.

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Disclaimer

Checchi Capital Advisers, LLC (“CCA”) is an SEC registered investment adviser located in the State of California. CCA and its representatives are in compliance with the current registration and notice filing requirements imposed upon SEC registered investment advisers by those states in which CCA maintains clients. CCA may only transact business in those states in which it is notice filed, or qualifies for an exemption or exclusion from notice filing requirements. CCA’s web site is limited to the dissemination of general information regarding its investment advisory services to United States residents residing in states where providing such information is not prohibited by applicable law. Accordingly, the publication of CCA’s web site on the Internet should not be construed by any consumer and/or prospective client as CCA’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Furthermore, information on this Internet site should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from CCA. Any subsequent, direct communication by CCA with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of CCA, please contact the United States Securities and Exchange Commission on their web site at www.adviserinfo.sec.gov. A copy of CCA’s current written disclosure statement discussing its business operations, services, and fees is available from CCA upon written request. CCA does not make any representations as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to CCA web site or incorporated herein, and takes no responsibility therefore. All such information is provided for convenience purposes only and all users thereof should be guided accordingly. There are no performance guarantees expressed or implied and past performance of a security does not guarantee similar success in the future.

Privacy Policy

Checchi Capital Advisers, LLC is committed to maintaining the confidentiality, integrity and security of personal information about our current and prospective Clients. We consider customer privacy to be fundamental to our relationship with Clients. It is our policy to respect the privacy of current and former Clients and to protect personal information entrusted to us. This policy describes the steps we have taken to safeguard your information and what Client information we may share with others. We are proud of our privacy practices and want you to know how we protect information used to provide you with service.

You do not have to contact us to benefit from our privacy protections; they apply automatically to both current and former Clients.

INFORMATION WE COLLECT AND MAINTAIN
We collect and share with others the following types of personal information about you:

Information we receive from you to open an account or provide investment advice to you (such as your home address, telephone number, Social Security or taxpayer identification number e-mail address, age, Social Security Number, marital status, assets, and income and financial information);

Information that we generate to service your account (such as trade tickets and account statements); or Information that we may receive from third parties with respect to your account (such as trade confirmations).

INFORMATION WE DISCLOSE
We will not disclose any non-public personal information about you or your account to anyone unless one of the following conditions is met:

We receive your prior written consent; we believes the recipient is your authorized representative; we disclose your non-public personal information as necessary to effect or process a transaction in any account, or to maintain or service your account; we are required by law to disclose information to the recipient.

In all such situations, we stress the confidential nature of information being shared.

We may share your personal information with: non-affiliated companies that provide processing, account maintenance and related services in connection with your investments and other transactions handled by us; and non-affiliated companies and government agencies only to the extent permitted or required by law, for legal, regulatory or other purposes (for example, for tax purposes or for reporting suspicious transactions).

HOW WE PROTECT PERSONAL INFORMATION
We maintain the confidentiality, security and integrity of your non-public personal information by:

Restricting access to your non-public personal information to those employees with a legitimate need for the information; and maintaining physical electronic and procedural safeguards that meet or exceed federal and industry standards governing how non-public personal information should be stored. We have not and will not sell your personal information.

PRIVACY POLICY UPDATE
From time to time, we may amend our privacy policy. You will receive appropriate notice when our privacy policy changes.

HOW TO CONTACT US WITH PRIVACY QUESTIONS
Our relationship with you is one of our most vital assets. We recognize that you have entrusted us with your private financial information, and we will do our utmost to maintain this trust. For additional questions concerning our privacy policy, please contact us by phone at 310-432-0010.