Peregrine Investment Advisors, LLC (referred to as “Peregrine”) maintains physical, electronic, and procedural safeguards that comply with federal standards to protect its clients’ nonpublic personal information (“information”). Through this policy and its underlying procedures, Peregrine attempts to secure the confidentiality of customer records and information and protect against anticipated threats or hazards to the security or integrity of customer records and information.
It is the policy of Peregrine to restrict access to all current and former clients’ information (i.e., information and records pertaining to personal background, investment objectives, financial situation, tax information/returns, investment holdings, account numbers, account balances, etc.) to those employees and affiliated/non-affiliated entities who need to know that information in order to provide products or services in furtherance of the client's engagement of Peregrine. In that regard, Peregrine may disclose the client’s information: (1) to individuals and/or entities not affiliated with Peregrine, including, but not limited to, the client's other professional advisors and/or certain service providers that may be recommended or engaged by Peregrine in furtherance of the client's engagement of Peregrine (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, record keeper, etc.); (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations. The disclosure of information contained in any document completed by the client for processing and/or transmittal by Peregrine in order to facilitate the commencement/continuation/termination of a business relationship between the client and/or between Peregrine and a non-affiliated third party service provider (i.e., broker-dealer, investment adviser, account custodian, record keeper, insurance company, etc.), including, but not limited to, information contained in any document completed and/or executed by the client in furtherance of the client's engagement of Peregrine (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding non-affiliated third party service provider.
Should you have any questions regarding the above, please contact Kevin Anthony, Chief Compliance Officer.
Pursuant to applicable federal and/or state privacy regulations Peregrine Investment Advisors, LLC (referred to as “Peregrine”) is a financial institution that has determined to keep confidential nonpublic personal information about each Peregrine client.
Nonpublic personal information is defined to mean personally identifiable financial information that is provided by a consumer to a financial institution, results from any transaction with the consumer or any service performed for the consumer, or is otherwise obtained by the financial institution.
Personally identifiable financial information means any information: (1) a consumer provides to a financial institution to obtain a financial product or service; (2) about a consumer resulting from any transaction involving a financial product or service between a financial institution and a consumer; or (3) a financial institution otherwise obtains about a consumer in connection with providing a financial product or service to that consumer.
Attached hereto and made a part hereof is a copy of Peregrine’s Privacy Notice that is to be distributed by Peregrine: (1) initially: (a) to each existing Peregrine client; and (b) to each new client prior to or at the time of establishing a “customer relationship” with Peregrine; and (2) annually thereafter for as long as the client maintains its relationship with Peregrine.
Please visit the Disclosures section of this website to review Important Disclosure Information.