50 OLD COURTHOUSE SQUARE SUITE 300 SANTA ROSA, CA 95404
707-387-4557
PRIVACY POLICY
At Sonoma Allocations (“we,” “us,” or “our”), your privacy is our highest priority. We deeply value the trust you place in us, and we are committed to protecting the personal information you share. We do not sell your information, and we only share it when necessary to provide services to you, as outlined in this policy.
Our relationship with you is our most important asset. This Privacy Policy explains how we collect, use, and protect your information and what rights you have to limit certain uses or disclosures.
WHY YOU NEED TO KNOW
As a Registered Investment Advisor (RIA), we are required by federal and state law to share some of your personal information in order to manage your accounts and fulfill our regulatory obligations. These laws also give you the right to limit some—but not all—sharing. We are also required to tell you how we collect, share, and protect your personal information.
WHAT INFORMATION DO WE COLLECT?
We may collect nonpublic personal information (NPI) from the following sources:
Information You Provide to Us
Name, address, phone number, and email
Date of birth and Social Security number
Driver’s license or government-issued ID
Income, expenses, and employment information
Banking information and financial account details
Investment goals, risk tolerance, and preferences
Information from Other Sources
Account applications and custodial documents
Brokerage and advisory agreements
Investment questionnaires and suitability forms
Transactional data from third-party service providers
Legal documents (e.g., trusts, powers of attorney)
HOW DO WE PROTECT YOUR INFORMATION?
To protect your personal information from unauthorized access and use, we maintain physical, electronic, and procedural safeguards in accordance with federal law. These include:
Encrypted file storage
Secure office facilities
Password-protected systems
Access controls and regular audits
Vendor assessments and cybersecurity protocols
All staff members are trained to maintain confidentiality. Third-party providers that support our services are required to protect any information they receive from us.
HOW DO WE USE AND SHARE YOUR INFORMATION?
We use and may share your personal information only to the extent necessary to serve you, comply with regulations, and operate our business effectively.
| Reason for Sharing | Do We Share? | Can You Limit This? |
|
Servicing your account (e.g., processing transactions, maintaining your account, responding to legal requests) |
Yes | No |
|
With our affiliates for internal business operations (e.g., transaction or experience data) |
Yes |
No |
| With affiliates regarding your creditworthiness | Yes | Yes |
| With third-party vendors to support operations (e.g., custodians, auditors, technology providers) | Yes | No |
| With non-affiliates for marketing purposes | No | Not Shared |
| With your authorized agents or representatives | Yes | Yes |
| With others to market their services to you | No |
Not Shared |
USE OF ARTIFICIAL INTELLIGENCE (AI)
We may utilize artificial intelligence (AI) tools, including Plaud AI, internally to assist in summarizing and organizing notes from client meetings to enhance record-keeping and efficiency.
These AI tools do not replace human oversight, and all notes are reviewed for accuracy and compliance with regulatory standards. Client data processed through AI:
- Remains confidential
- Is securely stored
- Is not shared with third parties unless required by law
- Is not used to make investment decisions
- Is not used to communicate directly with clients
We also conduct thorough due diligence upfront and perform ongoing assessments of our AI tools’ privacy and cybersecurity protocols to ensure they meet the highest standards of security and confidentiality.
If you have any questions or wish to opt out of AI-assisted note-taking, please contact us.
INFORMATION ABOUT FORMER CLIENTS
When you are no longer a client, we continue to protect your personal information. We do not share your non-public information with non-affiliated third parties except as required by law.
YOUR RIGHT TO LIMIT SHARING
Federal law gives you the right to limit:
- Sharing of information about your creditworthiness with affiliates
- Sharing with non-affiliates who may use your information to market to you
To opt out of these types of sharing, contact us using the information below.
SPECIAL STATE DISCLOSURES
If your account is located in California, North Dakota, or Vermont, we automatically limit the sharing of your personal information with non-affiliated third parties for marketing purposes as required by state law.
CHANGES TO OUR PRIVACY POLICY
We will send you a copy of this Privacy Policy annually for as long as you maintain a relationship with us. If we ever make material changes to the way we handle your information, we will send you a revised notice. We will never change our practices in a way that allows more sharing without first notifying you and offering a chance to opt out.
QUESTIONS OR REQUESTS?
If you have any questions, would like to limit data sharing, or want a current copy of this policy, please contact us:
Sonoma Allocations 50 Old Courthouse Square,
Suite 300 Santa Rosa, CA 95404 (707) 387-4557
Please call if you have any questions. Your privacy, our professional ethics, and the ability to provide you with quality financial services are very important to us. Revised: 07-03-2025
