Privacy Policy
Alpha & Omega Financial Management Consultants, a Registered Investment Advisor, is committed to safeguarding confidential information. We have adopted policies intended to protect the personal information of our present and former clients.

The categories of non-public information we collect from you about your personal finances may include:

  1. Information we receive from you on custodian applications or other forms,
  2. Verbal or written communications, and
  3. Information about transactions enacted on your behalf at your investment custodian.
We use this information to assist you in meeting your personal financial goals. In order to implement strategies and transactions, we may be required to provide this information to non-affiliated third parties. Only the information required to implement the strategy or transaction is provided. Non-affiliated third parties often include broker/dealers, tax professionals, attorneys, bankers, and other investment-related businesses with which you do business. If required, we may disclose non-public personal information, such as name and brokerage account number, to a third-party service provider in connection with the filing of class action securities claims on your behalf. Participation is strictly voluntary, and you may opt out of this service at any time.

Consumers under 16 years of age:
We do not sell personal information of consumers under 16 years of age. We may collect such information only in the case of an account beneficiary who is a minor, in order to issue a payment to their guardian. We would only share such data as necessary in order to process the distribution payment.

Internally, we limit access to your personal information to those employees who need to know in order to conduct our business, service your account, and assist you in accomplishing your investment objectives. In addition, each employee is required to comply with Alpha & Omega Financial Management Consultant’s Code of Ethics, Privacy Policy, and Privacy & Information Security Policy, which reiterates the confidentiality of all our clients’ information. In complying with applicable laws and regulations, we maintain physical, electronic, and procedural safeguards to protect your personal information.

We maintain a secure office to ensure that your information is not placed at unreasonable risk. Alpha & Omega Financial Management Consultants maintain technical and policy-based controls to protect Firm and client data from unwanted exposure. Physical access to electronic and paper records is secured with access codes and locks. We do not provide your personal information to mailing list vendors or solicitors.

Personally, identifiable information about you will be maintained during the time you are a client, and thereafter, as such records are required to be maintained by federal and state securities law, and consistent with the CFA Standards of Professional Conduct and the CFP Board’s Standards of Professional Conduct. As permitted by law, federal and state securities regulators may review Alpha & Omega Financial Management Consultant’s records and your personal records, as well as consultants and attorneys to assist in meeting our regulatory obligations. After the required period of record retention, all information may be destroyed.

Your privacy rights if you are a California resident

  1. Right to opt out of the sale of personal information:
    Alpha & Omega has not sold personal information in the past 12 months. We do not sell the personal information we collect from you or about you in order to provide our services.
  2. Right to Deletion (Right to Erasure, or Right to be Forgotten):
    You have the right to request that your personal information be deleted from our records under the following circumstances:

    1. The personal data is no longer necessary for the purpose it was collected or processed.
    2. You have withdrawn consent and there is no other ground for lawful processing.
    3. The personal data has been unlawfully processed.

    Data deletion will take place according to Alpha & Omega’s’ Record Retention Policy in compliance with applicable laws and regulations.

  3. Right to Disclosure (Right to Know What Information We Hold):
    You have the right to know what categories of personal information we collected about you in the past 12 months, and the right to know what specific pieces of information we hold about you. Please note that we cannot provide you with the actual data, e.g., we can tell you that we hold your Social Security Number, but we cannot tell you what that number is.
  4. Right to Correct Inaccurate Information
    You have the right to request that we correct any inaccurate personal information we maintain about you.
  5. Right to Nondiscrimination for Exercising Your Privacy Rights
    We cannot deny our services, charge you a different price, or provide a different level or quality of services because you exercised your rights under the CCPA.
How to make requests:

You can submit your request for data deletion or data disclosure by:

  1. Calling toll-free: (800) 755-5060
  2. Sending an email:

We will respond within 45 days of receiving a verifiable request for disclosure of what information we hold about you, covering the 12-month period preceding the receipt of your request. We verify your request by requiring a copy of a government-issued photo ID at the time of the request. There is no charge for this service. The 45-day period can be extended once by an additional 45 days when reasonably necessary, in which case we will notify you of the extension.

Please note that we are not required to provide the information to the same customer more than twice in a 12-month period.

We reserve the right to modify this policy at any time. Changes will be reflected, periodically, on this website.

A&O welcomes your questions or comments regarding our privacy policy:
8580 La Mesa Blvd. Suite #100
La Mesa, CA 91942

Phone: (800) 755-5060

*Last updated June 2023

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