Protocol Wealth, LLC
Last Updated: March 2025
Protocol Wealth collects and develops personal information about clients, and some of that information is non-public personal information (Customer Information). The essential purpose for collecting Customer Information is to provide and service the appropriate financial products and services clients obtain from Protocol Wealth.
The categories of Customer Information collected by Protocol Wealth depend upon the scope of the engagement and are generally described below. As an investment adviser, Protocol Wealth collects and develops Customer Information about clients in order to provide investment advisory services. Customer Information collected includes:
When you are no longer our customer, we continue to share your information as described in this notice.
All financial companies need to share customers' personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers' personal information; the reasons Protocol Wealth chooses to share; and whether you can limit this sharing.
| Reasons we can share your personal information | Does Protocol Wealth share? | Can you limit this sharing? |
|---|---|---|
| For our everyday business purposes—such as to process your transactions, maintain your account(s), respond to court orders and legal investigations | Yes | No |
| For our compliance with rules and regulations—information about your transactions and communications provided to non-affiliated firms when required | Yes | No |
| For our marketing purposes—to offer our products and services to you | Yes | No |
| For joint marketing with other financial companies | Yes | No |
| For our affiliates' everyday business purposes—information about your transactions and experiences | Yes | No |
| For our affiliates' everyday business purposes—information about your creditworthiness | No | We don't share |
| For our affiliates to market to you | No | We don't share |
| For nonaffiliates to market to you | No | We don't share |
Who is providing this notice? Protocol Wealth, LLC
To administer, manage and service customer accounts, process transactions and provide related services for client accounts, it is necessary for Protocol Wealth to provide access to Customer Information to non-affiliated companies, other investment advisers, custodians, and other financial institutions. Protocol Wealth may also provide Customer Information outside of the firm as permitted by law, such as to government entities or other third parties in response to subpoenas. Protocol Wealth does not share Customer Information with affiliates or non-affiliated third parties for marketing purposes.
To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards, secured files and buildings, encryption, multi-factor authentication, and regular security audits.
We collect your personal information, for example, when you:
We also collect personal information from others such as credit bureaus, affiliates, and other companies.
Federal law gives you the right to limit only:
State laws and individual companies may give you additional rights to limit sharing.
If you choose to opt out now, at any time in the future, or wish to withdraw your opt out request, contact us at compliance@protocolwealth.io. If it is your choice to opt out, there will be a 30-day period before your opt out will take effect.
Companies related by common ownership, control, or directly involved in execution and settlement of client transactions. They can be financial and non-financial companies.
Companies not related by common ownership, control, or directly involved in execution and settlement of client transactions. They can be financial and non-financial companies. Protocol Wealth has execution and custody relationships with various custodians and financial institutions.
Vermont: In accordance with Vermont law, we will not disclose information about your creditworthiness to our affiliates and will not disclose your personal information, financial information, credit report, or health information to nonaffiliated third parties to market to you, other than as permitted by Vermont law, unless you authorize us to make those disclosures.
California: In accordance with California law, we will not share information we collect about you with companies outside of Protocol Wealth, unless the law allows. For example, we may share information with your consent, to service your accounts, or to provide rewards or benefits you are entitled to. We will limit sharing among our companies to the extent required by California law.
Nevada: If you would like to be placed on our Internal Do Not Call List, please contact us at compliance@protocolwealth.io. For more information, you may contact the Bureau of Consumer Protection, Office of the Nevada Attorney General, 555 E. Washington St., Suite 3900, Las Vegas, NV 89101. Phone: 1-702-486-3132.