Privacy Policy

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.

The types of personal information we collect and share depends on the product or service you have with us. This information can include:  Social Security number and income  Account balances and assets  Transaction history

All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons Steel Peak Wealth Management, LLC chooses to share; and whether you can limit this sharing.

We share your personal information for:

For our everyday business purposes – such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus.

For our marketing purposes – to offer our products and services to you.

For our affiliates’ everyday business purposes –information about your transactions and experiences.

For our affiliates’ everyday business purposes – information about your creditworthiness.

For our affiliates to market to you.

For nonaffiliates to market to you.

How does Steel Peak Wealth Management, LLC protect my personal information?

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and building.

How does Steel Peak Wealth Management, LLC collect my personal information?

We collect your personal information, for example, when you:

  •   Open an account
  •   Deposit money
  •   Seek advice about your investments
  •   Enter into an investment advisory contract
  •   Tell us about your investment or retirement portfolioor earnings

    We also collect your personal information from other companies.



Companies related by common ownership and control. They can be financial and nonfinancial companies.

 Steel Peak Estate & Insurance Agency, LLC


Companies not related by common ownership and control. They can be financial or nonfinancial companies.

 We do not share with nonaffiliates so that they can market to you.

Joint Marketing:

A formal agreement between nonaffiliated financial companies that together market financial products or service to you.

 We do not jointly market.


Exhibit D – Privacy Policy Notice