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The relationship between Kanawha Capital Management, LLC and our clients is the most important asset of our firm. We strive to maintain your trust and confidence in our firm, an essential aspect of which is our commitment to protect your personal information to the best of our ability. We believe that all of our clients value their privacy, so we will not disclose your personal information to anyone unless it is allowed by law, is at your direction, or is necessary to provide you with our services. This statement describes how we protect the confidentiality of the personal information you share with us, the types of information we collect, and how we use it.
Client Information
The information we collect is limited to that which is useful to conduct our business and to provide services to you; to protect and administer your records, accounts and funds; to comply with regulatory laws and regulations; to help us design or improve our services and to understand your financial needs so we can provide you with superior service. Information comes from the following sources:
- Information we receive from you to open an account or provide investment advice to you (such as your home address, telephone number, and financial information);
- Information that we generate to service your account (such as tax information, trade tickets and account statements); and
- Information that we may receive from third parties with respect to your account (such as trade confirmations from brokerage firms).
Information We Share
We want you to be fully assured that
we do not sell information or client lists to third parties. We do not share
information about any clients or former clients other than described below.
Information To Parent Company and
Affiliates
We may share information with our parent company, WealthTrust LLC, and its board. Included in this information is summary data about our accounts, specifically account balances and advisory fees.
Sharing Information With Companies
That Work With Us
In order to conduct company business, and to offer products or services that may complement your relationship with us, we may share some of the information we collect, as described above, with companies or affiliates that perform services for us on your behalf, such as vendors we hire to prepare account statements or to provide support for one or more of our products and services; technology consultants who assist us in maintaining our computer systems; or your brokers and custodians to whom we provide account information. Written obligations are generally in place to keep the information we provide confidential and to use the information only for the purpose authorized.
We may also include periodic account statements for accounts with a common mailing address in a single envelope for convenience. This is commonly known as “householding” and may include other family or related accounts with the same mailing address. This will be done as requested or consented to by the account holders.
In addition, we provide a list of our clients’ names
and addresses to Enstrom’s Candies, which annually mails a year-end gift from
us to our clients. If you do not want us to include your name on this list,
please call us at (804) 359-3900.
Sharing Information In Other
Situations
We may share some or all of the information we
collect, as described above, or as otherwise authorized or required under
applicable law. This includes, for example, disclosures to process and service
your requested or authorized transactions; disclosures in connection with
subpoenas or other legal processes; disclosures as part of fraud or other investigations;
disclosures in connection with audits and examinations; and disclosures pursuant to your authorization or consent.
Protecting Information About You
Within our firm, we restrict access
to information about you to those employees who need to know that information
as part of their job responsibilities. We also educate our employees about the importance of confidentiality and client privacy. In addition, we maintain physical,
electronic, and procedural safeguards to protect your information. Our privacy policy regarding the
collection, use and disclosure of information about former clients is the same
as our policy for existing customers.
Keeping Up
to Date With Our Privacy Policy
Our privacy policy is subject to change from time to time. You may request a copy of our current Privacy Statement by contacting our office or visit our website at www.kanawha-capital.com. If you have questions about this statement, please call us at (804) 359-3900, or write us at P. O. Box 6862, Richmond, VA 23230.
Miscellaneous
Information
Our privacy policy applies to individuals who obtain
or have obtained from us a financial service used primarily for personal or
family account purposes. The laws of some states may impose separate
requirements regarding particular types of information about clients and
disclosure for those respective states. This Privacy Statement is intended to
comply with applicable law and replaces all other notices, statements or
agreements with respect to the same subject matter.
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