Avalan Disclosures and Privacy Policy

Website Disclosure:

This site has been designed for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security which may be referenced upon the site. Such offers can only be made where lawful under applicable law. The services and information provided through this site are for personal, noncommercial use and display. Avalan, LLC does not intend to provide investment advice through this site and does not represent that the securities or services discussed are suitable for any investor. Investors are advised not to rely on any information contained in the site in the process of making a fully informed investment decision. Avalan, LLC does not, and this site does not intend to, render tax or legal advice.

Individuals and firms may only transact business in a jurisdiction after satisfying its licensing and qualification requirements or after being excluded or exempted. Investment adviser agents and investment adviser representatives are some of the common names for registered individuals and firms.

Links Disclosure:

Avalan, LLC is not responsible for the collection, use or security of information by companies or organizations outside of Avalan, LLC that may be linked to our websites. Links to non-Avalan, LLC sites are provided for convenience only and are accessed at your own risk. The information available on these sites has been produced by unaffiliated third parties and Avalan, LLC does not guarantee its timeliness, sequence, accuracy, adequacy or completeness and make no warranties with respect to results to be obtained from its use. Any opinions or recommendations expressed therein are solely those of the third party information providers and are not the opinions or recommendations of Avalan, LLC. No endorsement of third party products, services or information is expressed or implied by any information, material or content referred to or included on, or linked from or to this website. Under no circumstances should the information be construed as an offer to sell or solicitation of an offer to buy a particular security. Consumers are encouraged to read the privacy policies of websites reached through the use of links from the Avalan, LLC website.

Our goal is to enter into long-term, mutually-beneficial relationships, which we develop to not only be lifelong, but multigenerational as well. Therefore, we engage in new relationships only after we determine that our services add substantial value in assisting our clients to achieve their goals and all that is important to them. In every aspect of our work we provide an uncompromising commitment to administer world-class client service while striving to accomplish each of our clients’ highly individualized wealth management needs.

 

PRIVACY NOTICE REGARDING CLIENT PRIVACY
Maintaining the trust and confidence of our clients is a high priority. That is why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information. This notice is provided to you on behalf of Avalan LLC.

Information We Collect: In connection with providing investment products, financial advice, or other services, we obtain non-public personal information about you, including:

  • Information we receive from you on account applications, such as your address, date of birth, Social Security Number, occupation, financial goals, assets and income;
  • Information about your transactions with us, our affiliates, or others; and
  • Information received from credit or service bureaus or other third parties, such as your credit history or employment status.

Categories of Information We Disclose: We may disclose all information that we collect. Avalan LLC and its affiliates do not sell customer lists and will not sell your name to telemarketers.
Categories of Parties to Whom We Disclose: We will not disclose information regarding you or your account with us, except under the following circumstances:

  • To your authorized Representative and his or her manager;
  • To our parent companies or their affiliates, to the extent permitted by law;
  • To entities that perform services for us or function on our behalf, including financial service providers, such as a clearing broker-dealer, investment company, or insurance company;
  • To consumer reporting agencies,
  • To third parties who perform services or marketing on our behalf;
  • To your attorney, trustee or anyone else who represents you in a fiduciary capacity;
  • To our attorneys, accountants or auditors; and
  • To government entities or other third parties in response to subpoenas or other legal process as required by law or to comply with regulatory inquiries.

How We Use Information: Information may be used among the companies that perform support services for us, such as data processors, technical systems consultants and programmers, or companies that help us market products and services to you for a number of purposes, such as:

  • To protect your accounts from unauthorized access or identity theft;
  • To process your requests such as securities purchases and sales;
  • To establish or maintain an account with an unaffiliated third party, such as a clearing broker-dealer providing services to you and/or Avalan LLC;
  • To service your accounts, such as by issuing checks and account statements;
  • To comply with Federal, State, and Self-Regulatory Organization requirements;
  • To keep you informed about financial services of interest to you.

Our Security Policy: We restrict access to nonpublic personal information about you to those individuals who need to know that information to provide products or services to you and perform their respective duties. We maintain physical, electronic, and procedural security measures to safeguard confidential client information.
Closed or Inactive Accounts: If you decide to close your account(s) or become an inactive customer, our Privacy Policy will continue to apply to you.
Complaint Notification: Please direct complaints to: Avalan LLC, 233 E. Carillo St., Ste. B, Santa Barbara, CA 93101 (805) 962-8455.
Changes to This Privacy Policy: If we make any substantial changes in the way we use or disseminate confidential information, we will notify you. If you have any questions concerning this Privacy Policy, please write to: Avalan LLC, 233 E. Carillo St., Ste. B, Santa Barbara, CA 93101 (805) 962-8455.