rev. 3/2025
What Does Saling Wealth Advisors (“Saling”) Do With Your Personal Information?
Why?
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.
What?
The types of personal information we collect and share depend on the product or service you have with us. This information can include:
• Social security number and assets
• Name, address, telephone number
• Educational/employment history
• Income, risk tolerance, and previous investment experience
• Account transactions and account balances
When you are no longer our customer, we continue to share your information as described in this notice.
How?
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 Saling chooses to share; and whether you can limit this sharing.
| Reasons we can share your information | Does SWA share? | Can you limit this sharing? |
|---|---|---|
| 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 |
Yes | No |
| For marketing purposes — to offer our products and services to you |
Yes | No |
| For joint marketing with other financial companies | No | We do not share |
| For our affiliates’ everyday business purposes — information about your transactions and experiences |
No | No |
| For our affiliates’ everyday business purposes — information about your creditworthiness |
We do not collect | We do not share |
| For our affiliates to market to you | No | We do not share |
| For non-affiliates to market to you | No | We do not share |
To Limit Our Sharing
We do not currently share your information except as necessary to manage your account or as required by law.
Please note: if you are a new client, we can begin sharing your information 30 days from the date we sent this notice. When you are no longer a client, we continue to share your information as described in this notice.
Questions?
Call (502) 805-3000, or email Emily Saling at emily@salingadvisors.com
What We Do
| How does Saling 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 buildings. |
| How does Saling collect my personal information? | We collect your personal information, for example, when you: • Complete an investment advisory agreement or other forms • Open an account or seek advice about your investments • Make a wire transfer or direct us to buy securities • Communicate with Saling via telephone, mail, or e-mail |
| Why can’t I limit all sharing? | Federal Law gives you the right to limit only: • Sharing for affiliates’ everyday business purposes –information about your creditworthiness • Affiliates from using your information to market to you • Sharing for non-affiliates to market to you State laws and individual companies may give you additional rights to limit sharing. |
| What happens when I limit sharing for a partnership interest I hold jointly with someone else? | Your choices apply to all parties, unless you inform Saling otherwise in writing. |
Definitions
| Affiliates | Companies related by common ownership or control. They can be financial and non-financial companies.
Saling does not have any affiliates. |
| Non-affiliates | Companies not related by common ownership or control. They can be financial and non-financial companies.
Saling may share personal information with non-affiliated third parties, such as broker dealers, banks and investment advisers for business purposes. Saling may also share personal information with parties who provide technical support, legal counsel, and accounting and compliance professionals. |
| Joint marketing | A formal agreement between non-affiliated financial companies that together market financial products or services to you.
Saling does not currently have non-affiliated joint marketing partners. |
| Other important information |
