9D Capital LLC Privacy Policy

Introduction

9D Capital LLC ("9D Capital," "we," or "us") is committed to safeguarding your personal information. This Privacy Policy outlines how we collect, use, and share personal information in the course of providing our investment advisory services.

Our Commitment to You

As a New York-based Registered Investment Advisor (RIA), 9D Capital is dedicated to maintaining the trust and confidentiality of our clients' information. We do not sell your personal information to anyone and only share it for legitimate business purposes as outlined below.

Why You Need to Know

RIAs must share some personal information to service your accounts effectively. This Policy describes how we collect, share, and protect your personal information. Federal and state laws give you the right to limit some of this sharing.

Changes to Our Policy

We will send you a copy of this Policy annually as long as you maintain an ongoing relationship with us. Any material changes to this Policy will be communicated to you.

What Information Do We Collect?

We collect personal information necessary to provide our services, including:

  • Identifiers: Name, address, phone number, email address, date of birth, social security number, etc.

  • Financial Information: Account numbers, transaction history, income, etc.

  • Employment Information: Job position, salary information, tax information, etc.

  • Digital Footprint Data: Email, login information, IP addresses, etc.

How Do We Use Your Personal Information?

We use your personal information to:

  • Provide and manage our investment services

  • Monitor, audit, and evaluate our services

  • Communicate with you and respond to inquiries

  • Comply with legal and regulatory requirements

  • Conduct marketing and product development activities

What Lawful Basis Do We Have for Processing Your Personal Information?

Our lawful bases for processing your personal information include:

  • Consent: Your informed consent to process your information.

  • Contract: Necessity to fulfill our contractual obligations.

  • Legal Obligation: Compliance with applicable laws and regulations.

  • Legitimate Interests: Processing necessary for our legitimate business interests.

How Do We Share Your Information?

We share your personal information:

  • To complete client-directed transactions

  • With contractors, vendors, and third parties supporting our business

  • As required by law or to protect against fraud and other illegal activities

SMS Consent and Phone Numbers

We do not share phone numbers collected for SMS consent with third parties or affiliates for marketing purposes. Your phone number and SMS consent are used solely for the purpose of sending you text messages as agreed upon.

Can You Limit Our Sharing?

Federal law gives you the right to limit sharing for:

  • Affiliates' everyday business purposes

  • Affiliates' marketing to you

  • Non-affiliates' marketing to you

State laws and individual companies may provide additional rights to limit sharing.

Your Individual Rights

You have the right to:

  • Access the personal information we hold about you

  • Request corrections to your personal information

  • Opt out of receiving marketing communications

  • File a complaint with relevant regulatory authorities

How Do We Protect Your Information?

We implement physical, electronic, and procedural safeguards to protect your personal information. However, no internet or electronic communication is entirely secure.

How Do We Keep Your Information Accurate and Up to Date?

We strive to keep your personal information accurate and up to date. Please notify us of any changes to your information.

How Long Do We Retain Your Information?

We retain your personal information for as long as necessary to provide our services and comply with legal obligations.

Does Our Site Collect Information About Children?

Our services are not directed to children under the age of 18. We do not knowingly collect personal information from children without parental consent.

Do We Use Cookies?

We use cookies to improve your experience on our website. For more information, please refer to our Cookies Policy.

Contact Information

If you have any questions or concerns about this Privacy Policy, please contact us at:

9D Capital LLC
Address: 244 5th Ave, Ste 1211, New York, NY 10001
Email: compliance@9d.capital

Opt-In Language for SMS Communications

When collecting phone numbers on our website, you will see the following opt-in language:

"By checking this box, I agree to receive SMS communication from 9D Capital LLC according to our privacy policy."

This checkbox must be unchecked by default and is required to be checked by the user to give their consent for SMS communications.