O’Brien Investment Management Privacy Policy


How We Protect Confidential Information

O’Brien Investment Management has implemented procedures designed to protect confidential Information, if any, that we may obtain. These procedures include:

  • keeping hard copies of documents containing confidential information in securely locked or password protected locations or media;

  • protecting electronic information by password, encryption or similar means;

  • limiting the persons who have access to confidential information to only those persons that need the information to perform their duties; and

  • limiting access by service providers to confidential information to only those persons who are required by contract or law to maintain the confidentiality of confidential information.

Information Collected

The firm collects nonpublic personal information from customers in the normal course of business as follows: 

  • information received from account applications and through conversations such as their names, social security numbers, and incomes;

  • information about our customers’ transactions with us such as account balances; and 

  • information gathered in efforts to establish account parameters, such as investment policies and related services.

Information Shared with Third Parties

The firm does not share customer nonpublic personal information with third parties for the purpose of marketing products or services to them. 

The firm does share customer nonpublic personal information under the following circumstances:

  • to third parties who are authorized by law or rule of any regulatory authority to have the information (such as securities regulators),

  • to persons who have been authorized to receive information in writing by the client whose Confidential Information is being shared (such as the client's accountant or adviser);

  • to third parties that perform services on our behalf (such as auditors, accountants and attorneys, all of whom are subject to strict confidentiality requirements);

  • to third party money managers for which we are providing services; and

  • if necessary in providing our services to our client such as for purposes of opening accounts or executing transactions.