Last Updated: May 26, 2021
Frazier & Deeter, LLC, and its affiliates, FD Real Asset Advisors, LLC and FD Fund Administration (collectively, “FD,” “we,” “us,” or “our”) developed this Privacy Notice to explain how we collect, use, share, and protect Personal Information (defined below), and your choices about the collection and use of Personal Information.
1. WHAT IS PERSONAL INFORMATION?
“Personal Information” is information that, either alone or in combination with other information, identifies you. Examples of Personal Information include, among others, name, email address, phone number, and mailing address. When we combine Personal Information with other information (i.e., information that does not, on its own, identify you), we treat the combined information as Personal Information.
2. PERSONAL INFORMATION WE COLLECT AND USE
A. Information We Receive from Clients
Our clients may provide us with Personal Information from time to time in the course of our engagement with them. Personal Information obtained from or relating to clients or former clients may be subject to additional limitations and protections under our Code of Ethics, applicable codes of professional conduct, laws, regulations, and the terms of our engagement letter or other agreements in place with our clients that outline the services being provided and use restrictions in place regarding Personal Information.
B. Information that You Provide Us
In various places on the Site, we request information, including Personal Information, from you via forms. The exact information we need to collect will depend on the purpose of the form. We will indicate on the form whether a particular field of information is mandatory or optional. If you choose not to provide certain information, we may not be able to provide the requested services. We collect Personal Information as follows:
- Contact information such as name, email address and phone number when you sign up for our newsletter; register to receive some of our proprietary content such as webcasts, articles, and videos; complete a survey; or sign up to participate in one of our events.
- Contact information; professional employment history and education; and information about your gender, race, disability status and veteran status when you apply to work at FD.
C. Information We Receive from Your Use of the Site
We collect the following types of information automatically through your use of the Site:
Cookies, Device Identifiers, and Similar Technologies
Most browsers provide you with the ability to block, delete, or disable cookies, and your mobile device may allow you to disable transmission of device identifiers. If you choose to reject cookies or block device identifiers, some features of the Site may not be available or some functionality may be limited or unavailable. Please review your help pages of your browser or mobile device for assistance with changing your settings.
To help you make an informed choice concerning your acceptance of cookies on the Site, we have prepared the following table:
|Types of Cookies||Description|
Strictly Necessary Cookies
|Essential cookies enable you to navigate our Site and use certain features, such as accessing secure areas of our Site and using other features of our service that require us to keep track of certain information as you navigate from page to page. Although some of these cookies are “required” to enable certain
functionality, you can disable them in the browser, but doing so will limit your ability to use the features supported by such cookies (e.g., automatic log-in).
|Functionality Cookies||Functionality cookies are cookies that support features of the Site, such as remembering your preferences.
Examples of functionality cookies include:
·Remembering your email address in order to view select videos and recorded webinars/podcasts which are hosted in wistia.com.
|Performance Cookies||These cookies collect information about how you use our Site, including which pages you go to most often and if they receive error messages from certain pages. These cookies are only used to improve how our Site functions and performs.
Examples of performance cookies include:
· _ga, _gid, _gat: Allows tracking various statistics relating to Website and Service usage through Google Analytics.
|Tracking or Targeting Cookies||From time-to-time, we may engage third parties that track individuals who visit our Site. These third parties may track your use of the Site for purposes of providing us with certain marketing automation features (to help us improve our outreach to current and prospective clients) and providing you with targeted advertisements.
Examples of tracking and targeting cookies include:
· visitorid: Used by Pardot, a SalesForce marketing automation tool, to track use of our Site. Please see this article for more information on these cookies. Also used by NextRoll, Inc., an advertising platform, to track use of our Site. You can opt out of seeing personalized ads from NextRoll (and other companies) using the NAI opt out tool here. Please note you will still see ads even if you opt out, but they will not be personalized by NextRoll.
Log File Information
When you use our Site, our servers automatically record information, including your Internet Protocol address (“IP Address”), browser type, referring URLs (e.g., the site you visited before coming to our Site), number of clicks, and how you interact with links on the Site, domain names associated with your internet service provider, pages viewed, and other such information (collectively, “Log File Information”). We may also collect similar information from emails sent to you which then help us track which emails are opened and which links are clicked by recipients. We use Log File Information collected from our implementation of the Site to further our legitimate interests in securing the Site by identifying potential threats and vulnerabilities, and in analyzing the effectiveness of our Site to improve the Site’s function and content.
To help personalize our Site and to better understand the demographics of users of our Site, we may use information derived from your IP address to estimate your location (roughly at the precision of your zip code). If we require access to more precise location data to provide you a certain feature (e.g., to help you identify nearby opportunities), we will only access your device’s location in accordance with the consent that you provide through your browser or device, which you may revoke at any time by following the instructions provided by your browser or device manufacturer.
D. Information Made Available through Client Portals
We offer an investor portal for client investors through a third party vendor. For your convenience and to help ensure the security of transmission, we provide you with access to financial records, which contain Personal Information, through these portals. For more information regarding how we collect, use, disclose, and protection Personal Information collected through these portals, please refer to the privacy notice published on the portal.
3. HOW WE USE PERSONAL INFORMATION
We use Personal Information from you for various purposes depending on the context in which we collected it. For example, on our Site, we collect contact information from you if you wish to sign up for our newsletter so that we can send you information on regulatory requirements, emerging trends, and upcoming events. As another example, we or one of our service providers collect survey information from you to help us improve our events and services.
In other words, we process Personal Information with your consent, as necessary to provide the Site, or for our legitimate interests, such as:
- Enabling secure use of the Site (e.g., log-in for secure areas);
- Providing, analyzing, administering, and improving the Site and our services;
- Contacting you in connection with our Site and certain services, notifications, events, programs, offerings, or surveys that you may have registered for or participated in;
- Sending you newsletters and other information that you have registered for or requested;
- Responding to inquiries regarding the Site;
- Processing job applications and other human resources administration purposes;
- Protecting our rights or our property;
- Meeting legal obligations;
- Providing services within the scope of our engagement with a client;
- For other purposes related to the reasons for which you provide Personal Information.
4. DISCLOSURE OF PERSONAL INFORMATION
We will not disclose your Personal Information except as set forth in this Privacy Notice or with your consent. In particular, we do not sell, lease, or exchange your Personal Information.
This section describes to whom we disclose Personal Information, and for what purposes:
- Our Service Providers. We employ service providers to perform tasks on our behalf and to assist us in providing the Site. For example, among other services, we use third parties to provide services such as website analytics, document repository software, job application processing, customer satisfaction surveys, marketing, customer relationship management, and video- and podcast-hosting. We take reasonable steps to help ensure our service providers provide at least the same level of protection for Personal Information as we do.
- Companies Involved in Mergers and Acquisitions Transactions. If we sell or otherwise transfer part or the whole of FD or our assets to another organization (e.g., in the course of a transaction like a merger, acquisition, bankruptcy, dissolution, or liquidation), any information collected through the Site, including Personal Information, may be among the items sold or transferred.
- Law Enforcement, Government Agencies, and Courts. We may disclose Personal Information at the request of law enforcement or government agencies or in response to subpoenas, court orders, or another legal process to establish, protect, or exercise our rights or to defend against a legal claim or as otherwise required or allowed by law, or to protect the rights, property, or safety of any other person. We may also disclose Personal Information to investigate or prevent a violation by you of any contractual or other relationship with us or your illegal or harmful activity.
5. PERSONAL INFORMATION TRANSFERRED FROM OUTSIDE THE U.S.
If you are using the Site from outside the United States, please be aware that Personal Information may be transferred to, stored, and processed in the United States. Although we take steps to provide adequate safeguards, the data protection laws of the United States might not be as comprehensive as those in your country. By using the Site, you consent to your information being transferred to the United States for the purposes described in this Privacy Notice.
6. HOW WE PROTECT THE CONFIDENTIALITY OF PERSONAL INFORMATION
FD strives to protect the confidentiality and security of information we obtain in the course of business. Our Code of Ethics, which applies to all employees, restricts the use of personal non-public information (that includes Personal Information as defined in this Privacy Notice) and requires that it be held in strict confidence. We also use reasonable safeguards, such as industry-standard encryption technology, to help keep the information collected through the Site secure.
Despite these efforts to store Personal Information in a secure operating environment that is not available to the public, we cannot guarantee the security of Personal Information during its transmission or its storage on our systems. Further, while we attempt to ensure the integrity and security of Personal Information, we cannot guarantee that our security measures will prevent third parties such as so-called hackers from illegally obtaining access to Personal Information. We do not represent or warrant that Personal Information about you will be protected against, loss, misuse, or alteration by third parties.
7. CHILDREN’S PRIVACY
FD does not knowingly collect or solicit any Personal Information from children. In the event that we learn that we have collected Personal Information from a child without parental consent, we will promptly take steps to delete such information. If you believe that we have received Personal Information from a child under the age of 16, you may contact us at firstname.lastname@example.org to request deletion of that information.
8. YOUR PRIVACY CHOICES
If you would like to access, amend, erase, export, or object to or restrict the processing of Personal Information about you, you may submit a request to email@example.com. We will promptly review all such requests in accordance with applicable laws. When we process Personal Information about you on behalf of a client, we must act on our client’s instructions—including with regard to how to respond to your request.
9. ADDITIONAL NOTICE FOR CALIFORNIA CONSUMERS
This section of our Privacy Notice applies to consumers who reside in California. We adopt this section to comply with the California Consumer Privacy Act of 2018 (“CCPA”).
If you are a California resident, you have the following rights. We will honor requests received to the extent required by applicable law and within the time provided by law.
A. Right to Access and Information Regarding Personal Information
You have the right to request that we disclose to you the categories and specific pieces of personal information we have collected about you. Specifically, you have the right to request that we disclose the following to you, in each case in the twelve-month period preceding your request:
- The categories of personal information we have collected about you;
- The categories of sources from which the personal information is collected;
- Our business or commercial purpose for collecting or selling personal information;
- The categories of third parties with whom we share personal information;
- The specific pieces of information we have collected about you;
- The categories of personal information about you, if any, that we have disclosed for monetary or other valuable consideration and the categories of third parties to which we have disclosed the information, by category or categories of personal information for each third party to which we disclosed the personal information; and
- The categories of personal information about you that we disclosed for a business purpose.
We will deliver personal information that we are required by law to disclose to you in the manner required by law within 45 days after receipt of a verifiable request, unless we notify you that we require additional time to respond, in which case we will respond within such additional period of time required by law. We may deliver the personal information to you electronically or by mail at your option. If electronically, then we will deliver the information in a portable and, to the extent technically feasible, in a readily usable format that allows you to transmit the information from one entity to another without hinderance.
B. Right to Deletion of Personal Information
You have the right to request that we delete Personal Information about you that we have collected directly from you. If we have received your Personal Information from a client, we may not be able to delete that Personal Information, as there are business requirements and contracts in place with our clients in which we have to retain some portion of your Personal Information for our financial records and for audit purposes. You may contact us as outline below to let us know if you want your Personal Information deleted.
C. Right to Opt Out
You have the right to opt out of the disclosure of Personal Information about you for monetary or other valuable consideration. We don’t disclose your Personal Information for monetary or valuable consideration but if this changes, we will update this Privacy Notice and accept your requests regarding your preferences.
D. Right to No Discrimination
We may not discriminate against you because of your exercise of any of the foregoing rights under the CCPA, including by:
- Denying you services;
- Charging different prices or rates for services, including through the use of discounts or other benefits or imposing penalties;
- Providing you a different level or quality of services; or
- Suggesting that you will receive different price or rate for service or at a different level or quality of services.
We may however, charge different prices or rates, or provide a different level or quality of services, if that difference is reasonably related to the value provided to us by your personal information.
E. Personal Information We Collect about California Consumers
We describe the personal information we have collected in the twelve (12) months preceding the effective date of this Privacy Notice in the part of our Privacy Notice titled, “Types of Information We Collect and Use” above. The information we collect includes the following:
- Identifiers such as name, address, email address, phone number as described in the “Types of Personal Information We Collect and Use” section above.
- The following categories of personal information described in California Civil Code §1798.80(e): (1) the personal information listed in the preceding bullet point as “identifiers,” and (2) the other information that identifies, relates to, describes, or is capable of being associated with a particular individual that we describe in “Types of Information We Collect and Use” above.
- Characteristics of protected classifications under California or federal law that we collect may for employees or prospective employees include Race, Gender, Age, Marital Status, voluntary disability status and Military or Veteran status.
- Commercial information, including information about services; registration information, and information you provide or submit to us when you participate in any event, program, contest, survey or other promotion that we may offer from time to time.
- Internet or other electronic network activity information, including, but not limited to, browsing history, search history, and information regarding your interaction with our websites, mobile apps, advertisements that we display on third party sites and apps, or pages or accounts on any third-party social media platforms.
- Audio information from calls placed with us.
- Professional or employment-related information Inferences drawn from (1) the information we collect when you visit our websites, tools, widgets and plug-ins, (2) information we collect, including through third-party suppliers, regarding content and other data posted on the Internet (such as public locations on the Internet) and (3) information about consumers preference and behavior that we collect on our websites in order to create a profile about a consumer reflecting the consumer’s preferences, characteristics.
We receive some of this Personal Information from our clients and do not collect it directly from California consumers. For more information, please see “Personal Information We Collect and Use” above.
F. Disclosures of Personal Information for Monetary or Other Valuable Consideration
We do not disclose the Personal Information we collect to other businesses or third parties for monetary or other valuable consideration.
We have disclosed Personal Information in all or substantially all of the categories identified in this Additional Notice for California Consumers for various business purposes. For more information about the categories of Personal Information we have disclosed, the categories of entities with which we have disclosed this information and the purposes for which we have disclosed the information, please see “Disclosure of Personal Information” above.
For information regarding the purposes for which we collect and use the personal information we collect, please see “Personal Information We Collect and Use” and “Disclosure of Personal Information” sections above.
G. Requests to Exercise Your Rights
You or your authorized agent may request to exercise the aforementioned rights by:
- Submitting a request to firstname.lastname@example.org
- Calling us toll-free at 866.886.2104
Please note that we may take steps to verify your identity before granting you access to information or acting on your request to exercise your rights, as required or permitted by law. We may limit our response to your exercise of the above rights as permitted by law.
If you use an authorized agent to submit your CCPA request, we may require proof of the written authorization you have given. We also may require you to confirm your identity and your residency in order to obtain the information, and you are only entitled to make this request twice in a 12-month period. You must include your full name, email address, and attest to the fact that you are a California resident. We will acknowledge your request within 10 days and respond to your request within 45 days or let you know if we need additional time. If you make this request by telephone, we may also ask you to provide the request in writing so that we may verify your identity. If we are unable to honor your request for any reason, we will notify you of the reason within the request time period.
H. Data Sharing for Direct Marketing Purposes
If you are a California or Nevada resident, you may ask us for a notice describing what categories of Personal Information we share with third parties or affiliates for those third parties or affiliates’ direct marketing purposes and identify the name and address of the third parties that received such Personal Information. We do not share your Personal Information with others for their direct marketing purposes. We will update this Privacy Notice if that ever changes. You can always contact us per the contact information below to let us know your preferences.
10. OPTING OUT OF RECEIVING E-MAIL COMMUNICATIONS
With your permission, we may send notifications, newsletters, promotions, or other information via email (“Communications”). You may follow the unsubscribe instructions in any email you receive. You may also send a global unsubscribe request to email@example.com.
11. RETENTION OF PERSONAL INFORMATION
We will retain your Personal Information for the period necessary to fulfill the purposes for which your Personal Information has been collected as outlined in this Privacy Notice unless a longer retention period is required by law (including, where applicable, specific legal and regulatory requirements that apply to accounting, auditing and tax records).
12. OTHER WEBSITES AND SERVICES, INCLUDING SOCIAL MEDIA
We are not responsible for the practices employed by any websites or services linked to or from our Site, including the information or content contained within them. A link to a third party’s website should not be construed as an endorsement by FD. We encourage you to investigate and ask questions before disclosing your Personal Information to third parties, including social media sites on which you choose to share your FD content.
13. CHANGES TO OUR PRIVACY NOTICE
We may modify or update this Privacy Notice from time to time, so please review it periodically. We may provide you with notice of material changes to the Privacy Notice as appropriate under the circumstances. UNLESS OTHERWISE INDICATED, ANY CHANGES TO THIS PRIVACY NOTICE WILL APPLY IMMEDIATELY UPON POSTING TO THE SERVICE.
14. HOW TO CONTACT US
If you have any questions about this Privacy Notice or the Site, please email us at firstname.lastname@example.org or call 866.226.2104 or write to:
Data Privacy Officer
Frazier & Deeter
1230 Peachtree Street NE Suite 1500
Atlanta GA 30309