Broker Check

Privacy Policy

Privacy Notice for Clients and Prospective Clients of Fund Advisors of America Inc.

At Fund Advisors of America, Inc. protecting our clients’ privacy is paramount; we recognize that an individual’s financial matters are extremely private and sensitive in nature. Our Commitment is to maintain strict standards to safeguard your personal financial information at all times, while diligently seeking to continue to bring you valuable products and services.

This information is being provided to you as required by Regulation S-P that was adopted last year by the Securities and Exchange Commission to modernize the laws governing the financial services industry.

Information We Collect

The personal financial information we collect directly from you includes information required to communicate with you and to assist us to effectively address your financial needs, as well as, to operate prudently in complying with the legal and regulatory requirements imposed by federal and state regulations.

Such personal financial information we may collect during the normal course of doing business with you may include:

Information received on applications and other forms, such as your name, mailing address, telephone number, email address, fax number.
Information about your financial transactions with us, our affiliates, or others, such as account balance, securities trading activity, fund transfers, and checking transactions.
Information as required by law to ascertain your experience in margin use and trading, such as your approximate annual income and net worth.

Our Use of Your Personal Financial Information

In the course of conducting investment advisory services on your behalf, there are occasions where we may engage affiliated and/or nonaffiliated companies to (i) service or process a financial product or service requested by your or, (ii) t maintain or service your account(s). These companies may be engaged in a related business such as mutual funds, securities brokerage, investment advisory or financial planning. Or they may be engaged in some service such as a transfer agent, clearing or custodial firm, accounting or systems operation. In such cases, the personal financial information we may share about you with these companies is necessary and permissible by law to administer, process, service, and enforce a transaction that you requested or authorized.

We may also share some or all of your personal financial information with your legal representative, trustee or other fiduciary, or where we need to protect the confidentiality and security of our records, or to prevent potential or actual fraud, unauthorized transactions, claims or other liability, for institutional risk control or resolving customer disputes or inquiries.

Also, as permissible by law, we may provide your personal financial information on requests, to our attorneys, accountants and auditors. In addition, subject to the Right Financial Privacy Act, sharing of your personal financial information is permitted on request by a law enforcement agency, regulator, self-regulatory agency or in a public safety investigation. Such sharing of your personal financial information is also permitted by a consumer reporting agency in accordance with the Fair Credit Reporting Act, or to comply with federal, state or local laws, rules or regulations, including requirements of self-regulatory organizations or a subpoena or judicial process.

Outside of the exceptions mentioned above and as permitted by law, we will not share your personal financial information with anyone unless you specifically ask us in writing to do so.

Confidentiality and Security

We restrict access to nonpublic personal information about you to those Employees who need to know that information to provide financial products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your non-public personal information.


Fund Advisors of America, strives to maintain 100% accurate personal information in our client files at all times. However, as personal situations, facts and data change over time. We encourage our clients to provide feedback and updated information to help us meet our goals of 100% accuracy.

Protecting your personal non-public information is high priority for us. We will continue our best efforts to ensure your privacy. If you have any comments or questions about this topic please call us at 800-438-3040.

Client Relationship Summary