PT Asset Management, LLC

Privacy Policy

Last Modified: January 30 2024

PT Asset Management, LLC (PTAM) is committed to safeguarding the personal information that you provide to us. This notice describes our privacy policy and how we handle and protect personal information we collect about individuals, such as yourself, who apply for or obtain our products and services. At PTAM, your privacy is our priority.

Information We Collect

We collect personal information about you for business purposes, such as evaluating your financial needs, processing your requests and transactions, informing you about products and services that may be of interest to you, and providing customer service. The personal information we may collect about you includes:

  • Information you provide to us on applications and other forms (such as your name, address, social security number, occupation, assets, and income);
  • Information about your transactions with us, our affiliates and others; and/or
  • Information we receive from consumer reporting agencies (such as your credit history and creditworthiness) and other entities not affiliated with PTAM.

Protecting Your Information

Our employees have limited access to your information. They have access only when it will help you do business with us or help us do business with you, including helping you accomplish your financial objectives. We maintain physical, electronic and procedural safeguards that comply with federal regulations to guard customer information.

Disclosure To Nonaffiliated Third Parties

We may share the personal information described above for business purposes with the following companies not affiliated with us:

  • Financial service institutions (such as mutual fund companies, securities brokers, clearing brokers and banks) with whom we have joint marketing agreements (such as agreements to market financial services or products that we jointly offer, endorse or sponsor); or
  • Companies under contract to perform services for us or on our behalf (such as vendors providing data processing, computer software maintenance and development, transaction processing and marketing services).

We share personal information with non-affiliated companies only when they agree to uphold and maintain our privacy standards when handling a customer’s personal information.

As we continue to develop our business, we may buy, merge, or partner with other companies. In such transactions, (including in contemplation of such transactions) the information that we collect may be among the transferred assets. If a portion or all of our assets are sold or transferred to a third-party, your personal information may be transferred as part of such transaction.

Also, we may disclose personal information with affiliated and non-affiliated companies and regulatory authorities as permitted by applicable law. For example, we may disclose personal information to cooperate with regulatory authorities and law enforcement agencies and as necessary to protect our rights or property.

Accessing And Revising Your Personal Information

We endeavor to keep our customer files complete and accurate. We will give you reasonable access to the information we have about you. Most of this information is contained in account statements that you receive from us and applications that you submit to obtain our products and services. We encourage you to review this information and notify us if you believe any information should be corrected or updated. If you have a question or concern about your personal information or this privacy notice, please contact Investor Relations.

Your California Privacy Rights

If you are a resident of California, you may have rights under the California Consumer Privacy Act, including:

  • The right to request access to your personal information;
  • The right to request that we correct inaccurate information PTAM has collected about you;
  • The right to request deletion of your personal information; and
  • The right to opt-out of sale or sharing for cross-contextual advertising.

Note that, currently, PTAM does not sell or share personal information for cross-contextual advertising.

We will not discriminate against you for exercising your rights under California law. You also have the right to appeal any decision we make regarding your privacy rights.

To make a privacy rights request or appeal, please use the information provided below under Contact Us.

Contact Us

If you have questions about privacy at PTAM or to make a privacy rights request or appeal, if applicable, please contact us at 877.738.9095 or