We consider our client relationships our most important asset. We strive to maintain your trust and confidence in our firm, an essential aspect of which is our commitment to protect your account information to the best of our ability. We believe that all of our clients value their privacy, so we will not disclose your account information to anyone unless it is required by law, at your direction or is necessary to provide you with our services. We have not and will not sell your account information to anyone.
Marquette collects and maintains your account information so that we can provide investment consulting services to you. The types and categories of information we collect and maintain about your organization include:
- Information we receive from you to provide investment advice to you (such as your address, telephone number, tax identification numbers and bank account numbers)
- Information that we generate to service your account (such as Asset Allocation Studies, Investment Policies and Executive Summaries)
- Information that we may receive from third parties with respect to your account(s) (such as custodial or brokerage statements and actuarial reports)
To provide you with the highest level of investment consulting services, we may disclose your account information in limited circumstances, which include:
- Disclosures to financial service companies as permitted by law, including those necessary to service your account (such as providing account information to investment managers and custodians)
- Disclosures to non-financial service companies that perform services on our behalf (such as our technology consultants who assist us in maintaining our computer systems)
- Arrangements with companies not affiliated with Marquette Associates will be subject to confidentiality agreements.
We will not disclose any account information about our current or former clients or their account(s) unless we receive prior consent, we believe the recipient is your authorized representative, or we are permitted by law to disclose information to the recipient.
Marquette will internally safeguard your non-public account information by restricting access to only those employees who provide products or services to you or those who need access to your information to service your account. In addition, we will maintain safeguards that meet federal and/or state standards to guard your non-public account information.
Marquette complies with relevant regulatory requirements and maintains its applicable Form ADVs (Disclosure Document) on a current and accurate basis. The firm’s Disclosure Document provides information about the firm’s advisory services, business practices, professionals, policies, and any actual and potential conflicts of interest, among other things. It is reflected in the Form ADV, Part 2A which is available for download here.
Marquette provides investment advisory services to retail investors and filed a Form CRS initially by June 30, 2020. The rule defines a “retail investor” as a “natural person, or the legal representative of such a natural person, who seeks to receive or receives services primarily for personal, family, or household purposes.” Marquette’s Form CRS is available for download here.