Last updated April 2023
When you use View Capital RIA, LP as your Investment Advisor, you entrust us with your personal and financial data. We consider your data to be private and confidential, and we hold ourselves to the highest standards of trust in their safekeeping and use.
We collect nonpublic personal information about clients such as you from the following sources:
- Information we receive from you on applications or other forms;
- Information about your transactions with us, our affiliates, or others, and
- If you visit our web site, information we may collect via a web server, often referred to as a “cookie,” indicates where a site visitor has been online and what has been viewed.
We do not disclose any nonpublic personal information about our customers or former customers to anyone other than our custodians and key strategic vendors that are used to facilitate our investment advisory services and better serve your needs, except as permitted by law.
Moreover, we will not release information about our customers or former customers unless one of the following conditions is met:
- We receive your prior written consent.
- We believe the recipient to be you or your authorized representative.
- We are required by law to release information to the recipient.
We only use information about you and your account to help us better serve your investment needs or to suggest services or educational materials that may be of interest to you.
If you want to OPT OUT from allowing us to share information about you then please do the following: (1) Send an email to Jackie Munoz at View Capital Advisors at firstname.lastname@example.org (2) In the subject please type in capital letters OPT OUT. (3) Please state if you want to opt out from the sharing of information between our affiliated firms and/or if you want to opt out of sharing your information with non-affiliated firms. (4) Please include all of your account numbers that you want this to apply to. Be aware that it is the policy of all View Capital RIA affiliated firms to NOT share information with any unaffiliated third parties unless these parties are fully disclosed to you by us previously.
To further protect your privacy, our website uses security programs and devices which we believe to be in accordance with current business practices, including data encryption, user names and passwords, and other tools. We maintain physical, electronic and procedural safeguards to guard your personal account information. We also restrict access to your personal and financial data to authorized View Capital associates who have a need for these records. We advise you not to send such information to us in non-secure e-mails.
Confidentiality and Security
We require all nonaffiliated organizations to conform to our privacy standards and are contractually obligated to keep the information provided confidential and used as requested. Furthermore, we will continue to adhere to the privacy policies described in this notice even after your account is closed or becomes inactive.
We will continue to conduct our business in a manner that conforms with our pledge to you, your expectations and all applicable laws.
Customer Identification Procedures
Federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. We will ask your name, address, date of birth, tax identification number and other information that will allow us to identify you. We may also ask you to present to us your driver’s license or other identifying documents, i.e., Articles of Incorporation, Trust Agreement.
View Capital Advisors, LLC
View Capital RIA, LP
2727 N. Harwood, Suite 225
Dallas, TX 75201
(214) 855-2555 Fax
Business Continuity Plan Disclosure
View Capital has developed a Business Continuity Plan so that all members of the firm will immediately know what actions to take in the unlikely event of a significant business disruption. This plan will assist us in determining what to do if we were to suffer a problem such as a fire in the building, significant telecommunications disruption or if there is a region-wide disaster. Our primary goals, after making certain that our employees are safe, will be to resume order taking capabilities as quickly as possible and to make certain that all of our clients have access to their accounts.
The timing and impact of disasters and disruptions is unpredictable, therefore, we will have to be flexible in responding to the actual events as they occur. This notice is provided so that you will know how to contact us in the case of a disaster that affects the manner in which you normally communicate with us, and to inform you of what actions you may take if communication to View Capital becomes impossible.
If View Capital’s phone lines are not working properly, please try us through our alternative emergency cell numbers, (214) 683-7758 and (214) 693-7338. If those numbers fail, go to our website at www.view-cap.com for further instructions on how to contact us. If you cannot access through either of those means, please contact your custodians directly, Pershing by fax only at (201) 413-5368 for liquidating orders, check and wire requests and ACAT transfers only and Schwab by phone at 800-515-2157.
View Capital’s intent is to quickly recover and resume business operations after a significant business disruption. We plan to safeguard our employees and property, protect the firm’s books and records, make a quick financial and operations assessment, and allow you to transact business as efficiently as possible given the circumstances. While View Capital has the regulatory obligation to retain copies of its books and records, Pershing LLC and Schwab for their own purposes maintains copies of many transactional records for business introduced by View Capital.
Our plan addresses a number of areas; data backup and recovery; mission critical systems; financial and operational assessments; alternative communications with you, employees and regulators; an alternate physical location for employees and operations; custodian and bank impact; regulatory reporting; and making certain that you have access to your funds and securities in the unlikely event we are unable to resume our business operations quickly. If the business disruption is so severe that it prevents us from remaining in business, View Capital will ensure that you have prompt access to your funds and securities.
Pertinent updates or modifications to our business disclosure plan will be posted on the Firm’s website. If you have questions or would like a copy of the disclosure statement, you may contact a Principal of our firm at 214-855-2550.