Each year, Point View Wealth Management, Inc. (and every federally registered investment advisor) is required to file online with the Securities and Exchange Commission an annual report, known as Part I of the ADV. Form ADV is the uniform form used by investment advisers to register with the SEC. Part I requires information about the investment adviser’s business, ownership, clients, employees, business practices, affiliations, and any disciplinary events of the adviser or its employees. That report is publicly available on the SEC’s website located at http://www.adviserinfo.sec.gov/. Locate Point View by using the link on the left hand side titled “Investment Adviser Search.” Select the radio button labeled "Investment Advisor Firm." Search by our name (Point View), our IARD/CRD number (106119) or our Firm SEC number (801-43340).
Part II of the ADV is a narrative brochure written in plain English containing information such as the types of advisory services offered, the adviser’s fee schedule, disciplinary information, conflicts of interest, and the educational and business background of the advisor's management and key advisory personnel. In 2011, the SEC has new rules requiring major revisions in how the information in ADV Part II is presented. The information itself remains largely the same. As part of the revision, we distributed a copy of the new ADV Part II to all of our clients, along with supplements giving additional information about Point View’s officers. As this is revised in the future, we shall repost an updated version on our website. To view the latest ADV Part II, please click here. To view Part 2B of ADV for David G. Dietze click here, To view Part 2B of ADV for Claire E. Toth click here. To view Part 2B of ADV for Donna M. St.Amant click here. To view Part 2B of ADV for Elaine F. Phipps click here.
- Keeping Your Information Confidential
- How We Obtain Personal Information and What We Do With It
- How We Protect Personal Information
- Protecting Your Assets
Keeping Your Information Confidential
At Point View Wealth Management, Inc., we have always been committed to the confidentiality of all personal information we learn about you. We want you to know how we use and safeguard the information we gather.
How We Obtain Personal Information and What We Do With It
We learn personal information about you in a number of ways. Typically, we learn it when you complete an account application or financial planning questionnaire. We may learn information in conversations with you or in communications with your personal representatives. As we manage your investments, we create information about you, in the form of account histories and trades. We save notes of conversations and email exchanges with you.
We use your personal information to manage your investments and assist you with your financial planning. In addition, as we learn of new investment or tax developments, we may contact you if, based on the information we know about you, we think it would be of interest to you. Our aim is to use the information only to assist you.
How We Protect Personal Information
Everyone who works at Point View knows the value of personal information and the need to protect it. Except for dealings with Fidelity Investments (see below), we do not disclose your personal information to anyone without your direction to do so. For instance, you may ask us to disclose that information when you apply for a mortgage, have an accountant prepare your taxes, and so forth.
All of our clients’ accounts are custodied at Fidelity Investments, and as our client you also have a separate relationship with Fidelity. Thus, they have much of the same personal information about you (from account applications, trading history, etc.) as we do. Of necessity, we must provide information to Fidelity in order to be able to service your accounts. The information provided is only what Fidelity needs to know in order to establish your accounts, trade on them, etc.
Our internet networkand client data are protected with firewalls, encryption techniques, and authorization procedures so that your information is secure online. All of this is tested and updated regularly. We have created a secure client vault so we can safely transmit documents to and from you and your authorized advisors ( such as your lawyer and accountant). When a person leaves our employ, we disable that person's access and change our passwords on websites where any information about you might be available. Both our employees and our outside vendors who have potential access to client information (for instance, our IT consultant) sign confidentiality agreements.
We may be required to provide personal information in response to a government inquiry or court order. Should that happen, we would notify you as to what is being requested, and what we are providing.
Your personal information remains confidential even if you no longer work with us.
If you have any questions about this, please call Claire Toth of our office.
Protecting Your Assets
You receive monthly statements from Fidelity on each of your accounts. You should review them to be certain Fidelity’s account values are consistent with the performance and balances we show in our quarterly mailings, and that you recognize all transactions in your accounts. If you have any questions, please contact us.
Finally, we are required to offer you each year the ability to request a copy of our form ADV Part II. You received the then-current version when you became a client, and it is available on our website. We also notify you when we make material changes to the document; there have been no material changes in the past year. Please contact us if you would like us to mail you a hard copy of our ADV Part II.