Privacy Policy
How we collect, use, and protect your personal information
Last Updated: February 2026
Vetta Investment Management is committed to protecting the privacy and security of your personal information. This Privacy Policy explains how we collect, use, share, and protect information about our clients and website visitors. As a registered investment advisor, we are subject to strict regulatory requirements regarding client information protection.
Information We Collect
When you become a client or inquire about our services, we may collect:
- Name, address, email address, and phone number
- Social Security number or tax identification number
- Date of birth and employment information
- Financial information including income, net worth, and investment objectives
- Bank account and brokerage account information
- Investment experience and risk tolerance
For clients with managed accounts, we collect and maintain detailed information about your investment account, including holdings, transactions, performance, and account statements. This information is necessary to provide our investment management services.
When you visit our website, we may automatically collect certain information about your device and browsing activity, including IP address, browser type, pages visited, and time spent on our site. This information helps us improve our website and understand how visitors use our services.
How We Use Your Information
We use the information we collect for the following purposes:
- Providing Investment Services: To manage your investment account, execute trades, and provide portfolio management services according to your investment objectives
- Client Communication: To respond to your inquiries, provide account statements and performance reports, and communicate important information about your account
- Regulatory Compliance: To comply with legal and regulatory requirements, including anti-money laundering laws, tax reporting, and SEC regulations
- Account Administration: To open and maintain your account, process transactions, and provide customer service
- Service Improvement: To analyze how our services are used and improve our investment strategies, website, and client experience
- Security: To protect against fraud, unauthorized access, and other security threats
Information Sharing and Disclosure
We do not sell, rent, or trade your personal information to third parties for marketing purposes. We may share your information only in the following limited circumstances:
We may share information with third-party service providers who perform services on our behalf, such as custodians, broker-dealers, technology providers, and professional advisors. These providers are contractually obligated to protect your information and use it only for the purposes for which it was disclosed.
We may disclose information when required by law, regulation, legal process, or government request. This includes responding to subpoenas, court orders, and regulatory examinations.
In the event of a merger, acquisition, or sale of assets, client information may be transferred to the acquiring entity. We would notify clients of any such change in ownership or control of their information.
We may share information with third parties when you have given us explicit consent to do so.
Data Security
We implement robust security measures to protect your personal information from unauthorized access, disclosure, alteration, and destruction. These measures include:
- Encryption of sensitive data in transit and at rest
- Secure data storage with restricted access controls
- Regular security assessments and updates
- Employee training on data protection and confidentiality
- Physical security measures for our offices and systems
- Incident response procedures for potential security breaches
While we implement strong security measures, no system is completely secure. We cannot guarantee the absolute security of your information, but we continuously work to maintain and improve our security practices.
Your Rights and Choices
You have certain rights regarding your personal information:
- Access: You have the right to access the personal information we hold about you
- Correction: You can request correction of inaccurate or incomplete information
- Opt-Out: You can opt out of receiving marketing communications from us, though we will still send account-related communications necessary for our services
- Account Closure: You can close your account at any time, subject to regulatory retention requirements
To exercise these rights or if you have questions about your information, please contact us using the information provided below.
Data Retention
We retain your personal information for as long as necessary to provide our services and comply with legal and regulatory requirements. As a registered investment advisor, we are required to maintain certain records for specified periods under SEC regulations.
After your account is closed, we will retain your information as required by law, typically for at least six years. After the required retention period, we securely delete or anonymize your information.
Changes to This Privacy Policy
We may update this Privacy Policy from time to time to reflect changes in our practices, technology, legal requirements, or other factors. We will notify clients of material changes by email or through our website.
The "Last Updated" date at the top of this policy indicates when it was most recently revised. We encourage you to review this policy periodically to stay informed about how we protect your information.
If you have questions about this Privacy Policy or how we handle your personal information, please contact us:
We will respond to your inquiry as promptly as possible, typically within one business day.