Thursday, 11 April 2013 23:51

Disclosures

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All written content on this site is for information purposes only.  Opinions expressed herein are solely those of WindRock Wealth Management LLC and our editorial staff.  Material presented is believed to be from reliable sources; however, we make no representations as to its accuracy or completeness.  All information and ideas should be discussed in detail with your individual adviser prior to implementation. Fee-based investment advisory services are offered by WindRock Wealth Management LLC, a Registered Investment Advisor in the State of Arizona.  The presence of this web site shall in no way be construed or interpreted as a solicitation to sell or offer to sell investment advisory services except, where applicable, in states where we are registered or where an exemption or exclusion from such registration exists.  Nothing on this website should be interpreted to state or imply that past results are an indication of future performance.  There are no warranties, expresses or implied, as to accuracy, completeness or results obtained from any information posted on this or any ‘linked’ websites. You may not modify content of this website for any other purposes without express written consent.

PRIVACY POLICY NOTICE

WindRock Wealth Management LLC is committed to adhering to the requirements and expectations regarding the privacy of personal information. Privacy regulations are founded upon three definitions:

  1. Consumer – a person who has not entered into an investment advisory relationship but has disclosed non- public personal information to our firm.
  2. Client – a person who has entered into an investment advisory relationship with the firm or that individual’s designated representative.
  3. Confidential Information – personally identifiable private information, not available from public sources, about a client or consumer. It generally includes name, address, age, social security number, assets, income, net-worth, account balances, account numbers, beneficiary information, or investment history.

Our firm collects nonpublic information about client and consumers. We will not share nonpublic information about clients or consumers with third parties not affiliated with our firm, except as noted below:

  • To complete transactions or account changes, as directed by the client.
  • To maintain or service a client’s account.
  • If requested by the client.
  • With entities under common ownership and control of our firm.
  • With contracted third-parties who require the information to develop, support and deliver services.
  • If our firm is required or permitted by law or regulatory authorities with jurisdiction over the firm.

As a client of our firm your privacy is important to us. We are dedicated to safeguarding your personal and financial information. We restrict access to confidential personal information about you to those employees who need to know that information to provide products or services to you. We maintain physical, electronic, and procedural safeguards to comply with federal standards to guard your confidential personal information.

Form ADV Part 3: Relationship Summary

WindRock Wealth Management LLC

Introduction

WindRock Wealth Management LLC (“WindRock” or “we”) is an investment adviser registered with the U.S. Securities and Exchange Commission. We offer our clients investment advisory services. Clients should understand that the services we provide and fees we charge are different than those of a broker-dealer, and that it is important to understand the difference between the two. Free and simple tools are available to research firms and financial professional at https://www.investor.gov/CRS, which also provides educational materials about investment advisers, broker-dealers and investing.

What Investment Services and Advice Can You Provide Me?

Description of Services: WindRock offers investment advisory services to retail investors. Our investment advisory services include: Wealth Management Services and Financial Planning and Consulting Services.

Wealth Management Services & Family Office Services: We provide asset management services which involves us managing and trading your designated account(s) either directly or through a sub-adviser, who we will evaluate, select, and monitor to manage and trade your account(s). We will discuss your investment goals and design a strategy to try and achieve your investment goals. We will continuously monitor your account when providing asset management services and contact you at least annually to discuss your portfolio. For more information, please see Item 4 of our Form ADV Part 2A.  Asset management services are provided on a discretionary basis within the confines of an agreed upon investment policy, meaning we will have the authority to determine the type and amount of securities that can be bought or sold for your portfolio without obtaining your consent for each transaction, except for private placement investments. For more information about investment authority, please see Item 16 of our Form ADV Part 2A.

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