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Privacy Policy

November 2019

Purpose and Objectives of the Policy:

Our Commitment to You

Dynasty Financial Partners, LLC and its subsidiaries, including Dynasty Wealth Management, LLC, a registered investment advisor, (collectively “Dynasty”) are committed to safeguarding the use of personal information of our Clients (also referred to as “you” and “your”) that we may obtain in the course of providing services to you as described here in our Privacy Policy(“Policy”).

Our relationship with you is our most important asset. Dynasty (also referred to as “we”, “our” and “us”) understands that you have entrusted us with your private information, and we do everything that we can to maintain that trust. Dynasty protects the security and confidentiality of the personal information we have and implements controls to ensure that such information is used for proper business purposes in connection with the management or servicing of our relationship with you.

Dynasty does not sell your non-­‐public personal information to anyone. Nor do we provide such information to others except for discrete and reasonable business purposes in connection with the servicing and management of our relationship with you, as discussed below.

Details of our approach to privacy and how your personal non-­‐public information is collected and used are set forth in this Policy.

Why you need to know?

Financial institutions such as Dynasty are required to share some of your personal information in the course of providing services to you or handling your account. Federal and State laws give you the right to limit some of this sharing and requires us to disclose how we collect, share, and protect your personal information.

What information do we collect from you?

Social security or taxpayer identification numberAssets and liabilities
Name, address and phone number(s)Income and expenses
E-mail address(es)Investment activity
Account information (including other institutions)Investment experience and goals

From what sources does Dynasty obtain this information?

Custody, brokerage and advisory agreementsAccount applications and forms
Other advisory agreements and legal documentsInvestment questionnaires and suitability documents
Transactional information with us or othersOther information provided to service your account

How do we protect your information?

To safeguard your personal information from unauthorized access and use we maintain physical, procedural and electronic security measures. These include such safeguards as secure passwords, encrypted file storage and a secure office environment. Our technology vendors provide security and access control over personal information and have policies over the transmission of data. Our employees are trained on their responsibilities to protect Client’s personal information.

We require third parties that assist in providing our services to you to protect the personal information they receive from us.

How do we share your information?

A financial institution shares Client personal information to effectively implement its services. In the section below, we list some reasons we may share your personal information.

Basis For SharingDo we share?Can you limit?
Servicing our Clients We may share non-public personal information with non-affiliated third parties (such as administrators, brokers, custodians, regulators, credit agencies, other financial institutions) as necessary for us to provide agreed upon services to you, consistent with applicable law, including but not limited to: processing transactions; general account maintenance; responding to regulators or legal investigations; and credit reporting.


Marketing Purposes Dynasty does not disclose, and does not intend to disclose, personal information with non-affiliated third parties to offer you services. Certain laws may give us the right to share your personal information with financial institutions where you are a customer and where Dynasty or the client has a formal agreement with the financial institution. We will only share information for purposes of servicing your accounts, not for marketing purposes.


Not Shared
Authorized Users Your non-public personal information may be disclosed to you and persons that we believe to be your authorized agent(s) or representative(s).



Information About Former Clients Dynasty does not disclose and does not intend to disclose, non-public personal information to non-affiliated third parties with respect to persons who are no longer our Clients.


Not Shared

Changes to our Privacy Policy

We will send you a copy of this Policy annually for as long as you maintain an ongoing relationship with us.

Periodically we may revise this Policy, and will provide you with a revised policy if the changes materially alter the previous Privacy Policy. We will not, however, revise our Privacy Policy to permit the sharing of non-­‐public personal information other than as described in this notice unless we first notify you and provide you with an opportunity to prevent the information sharing.

Any Questions?

You may ask questions or voice any concerns, as well as obtain a copy of our current Privacy Policy by contacting us at 1-844-847-2294.

Statespecific Regulations:


Pursuant to the California Consumer Privacy Act (“CCPA”), California residents, as defined in Section 17014 of Title 18 of the California Code of Regulations, have certain rights regarding their personal data. These rights include the Right to be Notified of the personal information that Dynasty has collected about you over the last 12 months; the Right to Request the personal information that Dynasty has collected about you; the Right to Delete, with exceptions, the personal information that Dynasty has collected about you; and the Right to not be discriminated against for exercising any of the above rights.

To request the personal information that has been collected about you or to request deletion, please call Stacy Costner, Chief Compliance Officer at 1-844-847-2294 or submit a message through Dynasty’s website at www.dynastyfinancialpartners.com.  

In response to the CCPA, to be conservative, we assume accounts with California addresses do not want us to disclose personal information about you to non-affiliated third parties, except as permitted by Federal and California law. We also limit the sharing of personal information about you with our affiliates to ensure compliance with California privacy laws. 

Dynasty does not sell your personal information to anyone.