Privacy Policy

Preserving trust is a core value. We recognize that you expect us to adopt policies and procedures reasonably designed to protect the information you provide us and to use it responsibly. We are committed to fulfilling the trust that is the foundation of your expectations. For that reason, we have adopted and adhere to the following policy regarding the privacy of your nonpublic personal information and personally identifiable information (collectively, NPI).



We may collect NPI from you or others, including your name, address, email address, telephone numbers, Social Security Number, other information that permits us to contact or communicate with you, information about your financial situation, including your employment or occupation, salary, assets, insurance and investment transactions, banking information, and other financial and tax information you may elect to supply to us.


We collect this NPI through various sources, including information from:
• You on new account forms, fact-finding questionnaires, product and service applications, and other forms;
• You, in writing, electronically, through the telephone, or through our website, when you communicate with us or request information about our products and services;
• Consumer reporting agencies;
• Other individuals or entities that you may authorize us to obtain information from, such as your attorney or accountant.


As permitted by law and as outlined in this policy, we disclose NPI to affiliates and unaffiliated third parties that provide services to us or with whom we have contractual relationships in order that we may effectively and efficiently carry out your directions and service your account. Examples of third parties with whom we may share your Nonpublic Personal Information include:


•Charles Schwab & Company, Mutual Fund companies, insurance companies, and other product sponsors in order to generate proposals, reflect available services, execute your investment, and otherwise service your accounts, and tax matters.
• Clearing Agencies or other broker/dealers through whom we clear and settle your securities transactions;

• Companies providing account performance and/or reporting services on your accounts;
• State, Federal, and other regulatory and self-regulatory authorities, or under a subpoena for release of information, as required by law or regulation;

• Other companies, associations, agencies, third parties, and institutions that provide services to us in order that we may more effectively and efficiently service your account including Intuit for tax services.


Where we share your NPI with third parties for the purposes noted above, we ensure that there are contractual agreements with the third party prohibiting their use and disclosure of that information for any purpose other than to carry out the purposes for which you disclosed the information, or that such third party is prohibited by law from further sharing your information. Except under the circumstances outlined above, we will not share NPI with affiliated or unaffiliated third parties concerning our current or former customers.


We have security policies and procedures reasonably designed to prevent unauthorized use or access to your NPI. In addition to your OASIS office personnel, your information is available to employees for various business purposes, such as processing or servicing transactions, and those fulfilling compliance, legal or audit functions. Our computer systems utilize password protection to prevent access by unauthorized personnel, and we employ other physical, electronic, and procedural safeguards to ensure the protection of your NPI in accordance with state and federal privacy regulations.  All OASIS office personnel complete non-disclosure agreements when hired.


When we make material amendments to our Privacy Policy we will post an appropriate notice on our website. In addition, we may send you an amended version of our Privacy Policy through the mail (or email if you have properly consented us to do so)