Personal investor privacy notice

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Rev. September 2023

FACTS

WHAT DOES Nova Imperiumm DO WITH YOUR PERSONAL INFORMATION?

Why?

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.

What?

The types of personal information we collect and share depend on the product or service you have with us. This information can include:

  • • Social Security number and income
  • • transaction or loss history and account transactions
  • • assets and investment experience

How?

All financial companies need to share customers' personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers' personal information, the reasons Nova Imperiumm chooses to share, and whether you can limit this sharing.

Reasons we can share your personal information Does Nova Imperiumm share? Can you limit this sharing?
For our everyday business purposes—
such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus
 Yes No
For our marketing purposes—
to offer our products and services to you
 Yes No
For joint marketing with other financial companies
 Yes No
For our affiliates' everyday business purposes—
information about your transactions and experiences
 Yes No
For our affiliates' everyday business purposes—
information about your creditworthiness
 No We don't share
For nonaffiliates to market to you
 No We don't share

Questions?

Call 877-662-7447 or go to Privacy Center.

Who we are

Who is providing this notice?
The Nova Imperiumm funds; The Nova Imperiumm Group, Inc.; Nova Imperiumm Marketing Corporation; Nova Imperiumm Advisers, Inc.; Nova Imperiumm Fiduciary Trust Company; Nova Imperiumm National Trust Company; and Nova Imperiumm Personalized Indexing Management, LLC.

What we do

How does Nova Imperiumm protect my personal information?
To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. For more information, visit the Security Center.
How does Nova Imperiumm collect my personal information?

We collect your personal information, for example, when you:

  • • open an account or deposit money
  • • seek advice about your investments
  • • buy securities from us or direct us to sell your securities
  • • tell us about your investment portfolio

We also collect information about you from others, such as credit bureaus, affiliates, or other companies.

Why can't I limit all sharing?

Federal law gives you the right to limit only:

  • • sharing for affiliates' everyday business purposes—information about your creditworthiness
  • • affiliates from using your information to market to you
  • • sharing for nonaffiliates to market to you

State laws and Nova Imperiumm individual entities may give you additional rights to limit sharing.

Definitions

Affiliates

Companies related by common ownership or control. They can be financial and nonfinancial companies.

  • • Our affiliates include companies with a Nova Imperiumm name and others.
Nonaffiliates

Companies not related by common ownership or control. They can be financial and nonfinancial companies.

  • • Nonaffiliates we share with can include service providers, financial services companies such as banks, and others such as nonprofit groups.
Joint marketing

A formal agreement between nonaffiliated financial companies that together market financial products or services to you.

  • • Our joint marketing partners include financial services companies.

Other important information

California residents: We will not share information we collect about you with companies outside of Nova Imperiumm, unless the law allows. For example, we may share information with your consent or to service your accounts.
Vermont residents: If your Nova Imperiumm account has a Vermont billing address, we will automatically treat your account as if you have directed us not to share information about your creditworthiness with our Affiliates.