Peregrine Investment Advisors, LLC (“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 and/or the sharing of all current and former clients’ information (i.e., information and records pertaining to personal background [including social security number and address], investment objectives, financial situation, financial planning issues, tax information/returns, investment holdings, account numbers, account balances, etc.) to those employees and affiliated/nonaffiliated entities who need to know that information in furtherance of the client’s engagement of Peregrine.
Peregrine shall disclose, as necessary, the client’s information: (1) to unaffiliated service providers and vendors in furtherance of establishing, maintaining, and reporting on the client’s Peregrine relationship (i.e., broker-dealer, account custodian, record keeper, technology, performance reporting, customer relationship management software [CRM], proxy voting, insurance, independent managers, sub-advisers, etc.); (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with applicable federal and/or state privacy regulations.
However, Peregrine does not, and shall not, disclose or share information with any affiliated or unaffiliated persons, entities or service providers for marketing or any other purposes or reasons not referenced above.
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.