Privacy Policy – Disclaimer – Terms of Use

Privacy Policy


Similar to most industries today, the financial services industry is rapidly being shaped by technology, which is constantly changing the way we do business. To be successful in this environment, we must continue to insure that our customers are confident that we will manage their financial affairs expertly and confidentially.

At The Institute for Wealth Advisors, our customers have access to a broad range of services. To deliver these services as effectively and conveniently as possible, it is essential that we use technology to manage and maintain certain customer information.
We want to assure all of our customers that whenever information is used, it is done with discretion. The safeguarding of customer information is an issue we take seriously at The Institute for Wealth Advisors. To affirm our continuing commitment to the proper use of customer information, we have set forth the following Privacy Principles. It is these Privacy Principles that guide us in serving the privacy needs of our customers.

The Institute for Wealth Advisors requires that you provide current and accurate financial and personal information on an ongoing basis. The Institute will protect the information you have provided in a manner that is safe, secure and professional. The Institute and its employees are committed to protecting your privacy and to safeguarding that information.


We collect non-public customer data in checklists, forms, written notations, various electronic forms, and in documentation provided to us by our customers for evaluation, registration, account opening or maintenance, licensing or related consulting services. We also create internal lists of such data.

During regular business hours access to customer records is monitored so that only approved individuals may access the files. During hours in which the company is not in operation, The Institute has established appropriate security standards and procedures to guard access to customer information.

No individual who is not so authorized shall obtain or seek to obtain personal and financial customer information. No individual with authorization to access personal and financial customer information shall share that information in any manner without the specific consent of a firm principal. Failure to observe The Institute’s procedures regarding customer and consumer privacy will result in discipline and may lead to termination.

The Institute is committed to the protection and privacy of its customers’ and consumers’ personal and financial information. The Institute will not share such information with any affiliated or nonaffiliated third party except:

• When necessary to complete a transaction in a customer account, such as with a clearing firm or account custodians;
• When required to maintain or service a customer account;
• To resolve customer disputes or inquiries;
• With persons acting in a fiduciary or representative capacity on behalf of the customer, with proper authentication;
• With rating agencies, persons assessing compliance with industry standards, or to the attorneys, accountants and auditors of the firm;
• In connection with a sale or merger of The Institute’s business;
• To protect against or prevent actual or potential fraud, identity theft, unauthorized transactions, claims or other liability;
• To comply with federal, state or local laws, rules and other applicable legal requirements;
• In connection with a written agreement to provide investment management or advisory services when the information is released for the sole purpose of providing the products or services covered by the agreement;
• In any circumstances with the customer’s instruction or consent;

It is not a policy of The Institute to share nonpublic personal and financial information with affiliated or unaffiliated third parties except under the circumstances noted above. Since sharing under the circumstances noted above is necessary to service customer accounts or is mandated by law, there are no allowances made for clients to opt out.



The information contained in this website is for general information purposes only. The information is provided by The Institute for Wealth Advisors and while we endeavour to keep the information up to date and correct, we make no representations or warranties of any kind, express or implied, about the completeness, accuracy, reliability, suitability or availability with respect to the website or the information, products, services, or related graphics contained on the website for any purpose. Any reliance you place on such information is therefore strictly at your own risk.

In no event will we be liable for any loss or damage including without limitation, indirect or consequential loss or damage, or any loss or damage whatsoever arising from loss of data or profits arising out of, or in connection with, the use of this website.

Through this website you are able to link to other websites which are not under the control of The Institute for Wealth Advisors.

 We have no control over the nature, content and availability of those sites. The inclusion of any links does not necessarily imply a recommendation or endorse the views expressed within them.
Every effort is made to keep the website up and running smoothly. However, 
The Institute for Wealth takes no responsibility for, and will not be liable for, the website being temporarily unavailable due to technical issues beyond our control.

Terms of Use

Welcome to our website. If you continue to browse and use this website, you are agreeing to comply with and be bound by the following terms and conditions of use, which together with our privacy policy govern The Institute for Wealth Advisors relationship with you in relation to this website. If you disagree with any part of these terms and conditions, please do not use our website.

The term ‘The Institute for Wealth Advisors or ‘us’ or ‘we’ refers to the owner of the website. The term ‘you’ refers to the user or viewer of our website.

The use of this website is subject to the following terms of use:

* The content of the pages of this website is for your general information and use only. It is subject to change without notice.

* This website uses cookies to monitor browsing preferences. If you do allow cookies to be used, the following personal information may be stored by us for use by third parties. Neither we nor any third parties provide any warranty or guarantee as to the accuracy, timeliness, performance, completeness or suitability of the information and materials found or offered on this website for any particular purpose. You acknowledge that such information and materials may contain inaccuracies or errors and we expressly exclude liability for any such inaccuracies or errors to the fullest extent permitted by law.

* Your use of any information or materials on this website is entirely at your own risk, for which we shall not be liable. It shall be your own responsibility to ensure that any products, services or information available through this website meet your specific requirements.

* This website contains material which is owned by or licensed to us. This material includes, but is not limited to, the design, layout, look, appearance and graphics. Reproduction is prohibited other than in accordance with the copyright notice, which forms part of these terms and conditions.

* All trademarks reproduced in this website, which are not the property of, or licensed to the operator, are acknowledged on the website.

* Unauthorised use of this website may give rise to a claim for damages and/or be a criminal offence.

* From time to time, this website may also include links to other websites. These links are provided for your convenience to provide further information. They do not signify that we endorse the website(s). We have no responsibility for the content of the linked website(s).