Privacy Policy Notice

Forum Financial Management, LP has adopted this privacy policy with recognition that protecting the privacy and security of the personal information we obtain about our customers is an important responsibility. We also know that you expect us to service you in an accurate and efficient manner. To do so, we must collect and maintain certain personal information about you. We want you to know what information we collect and how we use and safeguard that information.

Information We Collect: We collect certain nonpublic information about you ("Customer Information"). The essential purpose for collecting Customer Information is to allow us to provide advisory services to you. Customer Information we collect may include the following:

  • Information that you provide on applications or other forms which may include personal and household information such as income, spending habits, investment objectives, financial goals, statements of account, and other records concerning your financial condition and assets.  Additional information we may gather includes information concerning employee benefits and retirement plan interests, wills, trusts, mortgages and tax returns.
  • Identifying information such as your name, age, address, social security number, etc.
  • Information about your transactions with us, or others (e.g. broker/dealers, clearing firms, or other chosen investment sponsors).
  • Information we receive from consumer reporting agencies (e.g. credit bureaus), as well as other various materials we may use to provide an appropriate recommendation or to fill a service request.

Security of Your Information: We restrict access to your nonpublic personal information to those employees who need to know that information to service your account. We maintain physical, electronic and procedural safeguards that comply with applicable federal or state standards to protect your nonpublic personal information.

Information We Disclose: We do not disclose the nonpublic personal information we collect about our customers to anyone except: (i) in furtherance of our business relationship with certain service providers, and then only to those persons necessary to effect the transactions and provide the services that they authorize (such as broker-dealers, custodians, independent managers, third-party service providers, insurance companies, etc.); (ii) to persons assessing our compliance with industry standards (e.g., professional licensing authorities, etc.); (iii) our attorneys, accountants, and auditors; or (iv) as otherwise provided by law.

We are permitted by law to disclose the nonpublic personal information about you to governmental agencies and other third parties in certain circumstances (such as third parties that perform administrative or marketing services on our behalf or for joint marketing programs). These third parties are prohibited to use or share the information for any other purpose. If you decide at some point to either terminate our services or become an inactive customer, we will continue to adhere to our privacy policy, which may be amended from time to time.

Former Clients: If you decide to close your account(s) or become an inactive customer, we will adhere to our privacy policies, which may be amended from time to time.

Disclosures to Associated Firms: Some of our advisors are associated with an unaffiliated broker-dealer.  If you presently have a brokerage account at that firm, the broker-dealer has possession of your nonpublic information. These advisors may obtain information necessary to fulfill your requests, service your products or offer you other products or services of interest to you.    

Certain partners or advisors are also associated with related accounting firms.  If you are a client of a related accounting firm, these partners or advisors may obtain information necessary to complete your tax return.  Necessary information may include Tax Related Documents such as 1099s and Realized Gains/Loss Reports. 

Forum uses third party technology to manage and aggregate client assets that are held away. This technology is provided by OWL Technology, LLC. Forum is affiliated with OWL Technology, LLC under common control and ownership. Clients are not charged extra for these services, but a portion of the client fee paid to Forum is paid to OWL Technology, LLC for these services.

Changes to Our Privacy Policy: Except as required or permitted by law, we do not share confidential information about you with non-affiliated third parties. In the unlikely event there were to be a change in this fundamental policy that would permit or require additional disclosures of your confidential information, we will provide written notice to you, and you will be given an opportunity to direct us as to whether such disclosure is acceptable.

Questions: If you have questions about this privacy notice or have a question about the privacy of your customer information call our main number 630-873-8520 and ask to speak to the Chief Compliance Officer.

Please contact our office if you would like a current copy of Forum’s ADV Part 2A mailed to you. 

02/2017

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