Privacy Policy
Ballast Rock Capital

Our Commitment to Your Privacy.

Ballast Rock Capital, LLC (“Ballast Rock Capital,” “we,” “our,” or “us”) is committed to protecting the confidentiality and security of the personal information we collect about our clients. We maintain strict policies and procedures designed to safeguard your nonpublic personal information (“Information”). We do not share your Information without your consent except as permitted or required by law or as described in this Privacy Policy.
This notice explains the types of Information we collect, how we use it, and the circumstances under which it may be shared.
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Why We Gather Information
We collect information necessary to establish and maintain your account, conduct business effectively, safeguard your assets, and protect your privacy. We also seek to continuously improve our services and provide access to products and services that may be of interest to you. Collecting Information helps us better understand your financial needs, preferences, and objectives.
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What Information We Collect
The Information we collect directly from you may include:
• Identifying and contact information such as your name, mailing address, telephone number, email address, and fax number
• Personal background information including gender, education, occupation, and employer name and address
• Identification information such as date of birth and Social Security number
• Financial information required by law or regulation, including approximate annual income, net worth, investment experience, and credit information used to assess your financial profile
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When We Obtain Information
Most Information is provided directly by you when you:
• Complete account applications and related documentation
• Conduct transactions or place trades
• Communicate with us by email, telephone, or other correspondence
• Provide updates or inquiries regarding your account
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How We Use Your Personal Information.
The trust of our clients is one of our most valued assets. Ballast Rock Capital uses personal information solely to provide quality service, maintain account security, and meet regulatory obligations. For example, we may use your Information to:
• Verify your identity and contact information
• Maintain and service your account or portfolio
• Communicate account updates and required disclosures
• Improve our services and personalize your experience
• Inform you about products, services, or promotions that may be relevant to you
We may also use aggregated demographic information to help develop and enhance our offerings. If you close your account, Ballast Rock Capital will retain your Information as required to comply with applicable legal and regulatory recordkeeping obligations.
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Information Sharing with Affiliates and Strategic Partners
Ballast Rock Capital may share Information with affiliated entities when necessary to provide requested products or services or to offer opportunities related to services provided by our affiliates.
We may also establish partnerships or joint marketing relationships with companies offering products or services that may benefit our clients. In such cases:
• Information shared is limited to what is necessary for the specific purpose identified.
• Partners and affiliates may use the Information only in connection with the services or offerings related to our relationship.
• We require that communications clearly identify that an offer is being made due to a relationship with Ballast Rock Capital.
An affiliate is a company that we own or control, or with which we share common ownership.
We may share transaction and experience information such as:
• Name and contact information
• Date of birth
• Employment status
• General account and demographic information
This information may be used for internal reporting, risk monitoring, operational planning, and service development. We do not share additional categories of personal information with affiliates beyond those described above.
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Information Sharing with Third Parties
Protecting client confidentiality is a cornerstone of our privacy practices. Ballast Rock Capital does not sell, lease, or license personal information to third parties.
We may share Information with third parties only under limited circumstances, including:
• Service providers assisting with internal business functions such as account processing, fulfillment, client support, surveys, analytics, or operational services
• Vendors helping us analyze client needs or communicate relevant product or service offerings
Third parties receiving Information are contractually required to safeguard it and may use it solely for the services they perform on our behalf.
Examples of shared Information may include:
• Name and contact details
• Account-related information
• Transaction or activity data necessary to perform requested services
If you choose to purchase a product or service directly from another company, any Information you provide to that company will be governed by its own privacy policies.
Ballast Rock Capital may also disclose Information:
• When permitted or required by law
• To regulatory authorities, law enforcement, or governmental agencies
• To credit reporting or collection agencies when appropriate
• To protect our legal rights or property
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External Websites and Links
This Privacy Policy applies only to Ballast Rock Capital. We are not responsible for the privacy practices or content of third-party websites linked from our site. When you access external or co-branded websites, you may be asked to provide information directly to those parties. You should review their privacy policies before providing any personal information.
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Cookies and Website Tracking
Cookies are small text files placed on your device by a web server. Ballast Rock Capital’s website may use cookies to enhance functionality and improve user experience.
Third-party providers may also use cookies when you access their websites through links from our site. We do not control those cookies and recommend reviewing the third party’s privacy policies.
We may engage third-party analytics providers to track website usage statistics such as page visits, form submissions, and navigation patterns. Any cookies used for these purposes do not contain personally identifiable information, and all collected data remains the property of Ballast Rock Capital.
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Reviewing or Correcting Your Information
You may review, update, or correct your personal information at any time. You are responsible for maintaining accurate and complete information in your account records.
At least once every 36 months, we may request confirmation that your information remains accurate. If you wish to review or update your information or have questions regarding this Privacy Policy, please contact our office directly.
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Changes to This Privacy Policy
Ballast Rock Capital will provide clients with an updated Privacy Policy annually, which will reflect any material changes. Updated versions may also be provided as required by law.
For additional information or questions regarding this Privacy Policy, please submit a written request to:
Ballast Rock Capital
460 King Street Suite 200
Charleston, SC 29403
Contact@Ballastrockcapital.com