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Privacy Statement

This consumer privacy statement reflects the practices of River Road Asset Management, LLC (“River Road”).  River Road is a registered investment adviser and is majority owned by Affiliated Managers Group, Inc (“AMG”).  AMG is a publicly-listed asset management company with investments in leading boutique investment management firms around the globe.  AMG holds equity interests in other investment management firms.  Financial companies choose how they share your personal information.  Federal law gives consumers the right to limit some but not all sharing.  Federal law also requires us to tell you how we collect, share, and protect your personal information.  Please read this notice carefully to understand what we do.

The types of personal information we collect and share depends on the product or service you have with us.  The information can include:

  • Name and address; Social Security number; Financial account numbers; Other financial information

When you are no longer our customer, we continue to share your information as described in this notice.

This information may be collected from a variety of sources, including:

  • Information we receive from you on applications or other account forms, such as your name, address, and financial information.
  • Information we receive through your transactions or experiences with us and our affiliates.
  • Information we receive from outside companies.

We collect personal information so we can enhance the service we provide to you, including: 

  • To service your accounts and process your requests efficiently and accurately.
  • To identify you and protect your accounts from unauthorized access or identity theft.
  • To inform you of services and choices that can meet your needs now and in the future.

Reasons we can share your personal information.

  • For our everyday business purpose, such as to process your transactions, maintain your account(s), respond to court orders, regulatory requests, and legal investigations, report to consumer reporting agencies, or to provide information to those with whom you have authorized us to share with.
  • For our marketing purposes, such as to offer our products and services to you.
  • For joint marketing with other financial companies.
  • For our affiliates’ everyday business purposes, such as information about your transactions and experiences.
  • For our affiliates and non-affiliated third parties to market to you.

Information is shared to non-affiliated third parties only when those parties are acting on our behalf, or as required or permitted by law.  These third parties may include:

  • Service providers who provide support services to help us administer your financial relationship.  They may include data processing companies, companies that prepare account statements, or companies that help us market our products to you.

These companies are legally obligated to maintain the confidentiality of the information we provide to them, and are restricted from using this information for any reason beyond the performance of specified services on our behalf.

We take great care to safeguard your customer information and to ensure its accuracy.

  •  To protect your personal information from unauthorized access and use, we use security measures that comply with federal law.  These measures include computer safeguards and secured files and buildings.
  • We strive to maintain complete, current, and accurate information about you and your accounts.  If you request a correction to our records, we will respond in a timely manner.

Definitions:

  •  Affiliates – Companies related by common ownership or control.  They can be financial and nonfinancial companies.
  • Non-affiliated third parties – Companies not related by common ownership or control.  They can be financial and nonfinancial companies.
  • Joint marketing – A formal agreement between non-affiliated financial companies that together market financial products or services to you.

You can contact us at anytime with questions or to limit our sharing.  Call 502-371-4100.