Disclosures & Privacy Policy

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Disclosures

J Robert Bergmann Advisors, LLC, or its subsidiaries or affiliates or personnel (collectively, "JRBA") believes the information contained throughout our documentation, website, social media, and other materials (“JRBA Content”) is accurate. However, such information has not been independently verified. Some JRBA Content may be sourced using artificial intelligence means (“Ai”). Such content is typically for general overview and may vary based on specific firms referenced (if any) and individual circumstances. 

JRBA and its personnel are not attorneys and therefore do not practice law or give legal advice. Consult with your legal advisor before implementing legal strategies which may have been referred to by JRBA or in JRBA Content. 

Estate Planning Services: Through our partnership with an independent third-party technology company, Wealth, Inc. ("Wealth”), JRBA can facilitate the preparation of various estate planning documents for clients. Such services are generally separate from any investment management and/or financial planning services that JRBA may render to a client, and the exact scope of such estate planning services will depend on the nature of a client’s specific estate planning needs. As a condition of utilizing Wealth, clients must agree to the terms and conditions available at wealth.com. JRBA currently pays for client access to Wealth. For the avoidance of doubt, neither JRBA or Wealth render legal advice or services. Wealth offers the ability to consult with licensed attorneys in various jurisdictions at an additional charge, and subject to additional terms and conditions.

Tax Services: If JRBA is not engaged as your tax advisor, consult with your tax advisor before implementing any tax strategies which may have been referred to herein. 

Investment Services: With respect to any investment-related information that may be present in JRBA Content, JRBA cautions the reader against assuming that historical returns will continue in the future and affirms that past performance is not a guarantee of future results.

Privacy Policy

JRBA recognizes that our relationships with current and prospective clients are based on integrity and trust. We work hard to maintain your privacy and to preserve the private nature of our relationship with you. We place the highest value on the information you share with us. We want our clients to understand what information we collect, how we use it, and how we protect your personal information.

Why We Collect Your Information: We gather information about you so that we can:

● Help design and implement the investment and financial planning related services we provide you; and

● Comply with the Federal and State laws and regulations that govern us.

What Information We Collect and Maintain: 

We may collect the following types of “nonpublic personal information” about you:

● Information from our initial meeting or subsequent consultations about your identity, such as your name, contact information, social security number, date of birth, and financial information;

● Information that we generate to service your financial needs; and

● Information that we may receive from third parties in connection with the services we provide you.

What Information We Disclose: 

We are permitted by law to disclose nonpublic personal information about you to unaffiliated third parties in certain circumstances. JRBA may disclose client's nonpublic personal information: (1) to individuals and/or entities not affiliated with JRBA, including, but not limited to third-parties that assist in the supervision or management of your account(s) (i.e., sub-advisers, account custodian, record keeper, attorney, etc.); (2) to service providers contracted by us in order for us to perform the duties in furtherance of the client's engagement with JRBA (i.e. client management systems, archiving technology vendors, cloud service providers, etc.); (3) to your authorized representative or power of attorney; (4) when we receive your prior consent; (5) in connection with a proposed or actual sale, merger, or transfer of all or a portion of our business; and (6) as otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations. 

We will not sell your personal information. No contact information, including phone numbers and email addresses, will be shared with third parties or affiliates for marketing or promotional purposes. In the event that JRBA has a change to its client privacy policy that would allow it to disclose nonpublic personal information not covered under applicable law, JRBA will allow its clients the opportunity to opt out of such disclosure.

How We Protect Your Personal Information: 

We restrict and limit access to client information only to those who need to carry out their business functions. We safeguard client information by preventing its unauthorized access, disclosure, or use. We maintain physical, electronic, and procedural safeguards to protect your confidential personal information. Arrangements with companies or independent contractors not affiliated with JRBA will be subject to confidentiality agreements.

Former Clients

Even if we cease providing you with financial services, our Privacy Policy will continue to apply to you, and we will continue to treat your nonpublic personal information with strict confidentiality. We maintain all records regarding all former clients for the retention period required by law.

Clients are encouraged to discuss any questions regarding privacy policies and procedures directly with John Bergmann, Chief Compliance Officer of JRBA. Please contact John Bergmann at (248) 264-3275.