Legal Disclaimer

  1. PRIVACY
    1. Our Commitment to Privacy
    2. Information That We Collect
    3. Account Transaction Information
    4. Ascension's Policy on Confidentiality and Third Party Access
    5. Shared Information
  2. BUSINESS CONTINUITY PLAN
    1. Contacting Us
    2. Our Business Continuity Plan
    3. Varying Disruptions
    4. For more information

PRIVACY

Our Commitment to Privacy

Ascension Capital Advisors, Inc. appreciates the seriousness and sensitivity of the personal and financial information provided to us by our clients. We are committed to protecting our clients' interests and to maintaining the confidentiality of such information.

Information That We Collect

We are required to collect specific information from you, per law and/or regulatory rules. This information may include, but is not necessarily limited to: name, address, social security number, birth date, telephone numbers, marital status, investment objectives, annual income, investment experience, employment, number of dependents, risk tolerance, specific financial goals and objectives, and various other items of information a client may wish to share with us so as to facilitate accurate portfolio structuring and to promote an overall understanding of the client's financial profile.

Account Transaction Information

Records are maintained on all transactions in your accounts including, but not limited to, the security involved, date of transaction, amount of purchase, price, and dollar amount of the transaction, deposits and withdrawals, and transfers into and out of the account..

Ascension's Policy on Confidentiality and Third Party Access

We do not disclose our clients' personal and financial information to third parties, other than to our custodian, and such disclosure is for the establishing and servicing of clients' accounts. This disclosure policy is also applicable where insurance applications are concerned, and such disclosure is provided for the establishment and servicing of clients' policies..

We require confidentiality agreements from all employees and/or contract service providers, and only those parties directly involved with the servicing of accounts are allowed access to those accounts..

We do not sell or rent client lists or the personal or financial information of our clients..

Our policy applies to all current and past clients.

Shared Information

If required by law (i.e., subpoena, court order, etc.), we are obligated to provide personal/financial information concerning clients. Government and industry regulatory authorities may require confidential client information and we are required to comply.

Should you wish us to provide your personal information to another entity (i.e., Mutual Fund Company, your accountant, your attorney, or any other service organization) we must have your written authorization to do so.

If you have any questions or concerns regarding the foregoing privacy policy information, please call us at 713-952-6900.


BUSINESS CONTINUITY PLAN

Ascension Capital Advisors, Inc. has developed a Business Continuity Plan to address how we will respond to events that significantly disrupt our business and ensure the continuation of vital business processes. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us

If after a significant business disruption, you cannot contact Ascension Capital Advisors, Inc. as you usually do at 713-952-6900, you should try our toll free number 1-800-761-9815 or go to our website at www.ascensioncapital.com for information and instructions. If you have a mutual fund or variable annuity account held directly through the provider, contact the provider directly using the phone number or website listed on your statement. Refer to the statements you normally receive to determine which type of account you have.

Our Business Continuity Plan

We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making financial and operational assessment, protecting the firm’s books and records, and allowing our clients to transact business. Our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with clients, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our clients prompt access to their funds and securities if we are unable to continue our business.

Varying Disruptions

Significant business disruptions can vary in their scope, such as only our firm, a single building housing the firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within twenty four hours. In a disruption affecting our business district, city or region, we will transfer our operations to a site outside of that affected area, and recover and resume business within two days. In either situation, we plan to continue in business by transferring brokerage operations to our clearing firm and notify you of changes in procedure through our website. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our client’s prompt access to their funds and securities.

For more information

If you have any questions about our business continuity planning, you can contact the Ascension Capital Advisors, Inc. Compliance Department at 713-952-6900.

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