Privacy policy

Information we handle

• Public filing information. Firm names, regulatory identifiers, business facts and historical records come from public regulatory sources. Some filings may include information associated with an individual’s business. These records are distinct from visitor information.
• Messages you send. If you email a data correction, privacy request or accessibility report, we receive your email address, message, attachments and any other information you choose to send. Please avoid account numbers, financial records, passwords and other sensitive information.
• Technical request information. Our hosting and security providers may process IP addresses, browser and device information, request times, pages and URLs requested, referrers and error or security records to deliver and protect the site. Search terms and filters appear in page URLs and may therefore be included in request logs. Do not enter confidential information into search.
• Browser preferences. The site saves your light/dark theme in local storage. It saves comparison selections, their source release and return-page context in session storage for the browser tab. These features do not require a visitor account.

How we use and share information

We use information to deliver directory pages and comparisons, maintain public source history, investigate errors and abuse, respond to messages and requests, and meet applicable legal obligations. Hosting, database and email providers process information needed to supply those services. RIA Monitor uses Vercel for hosting and Neon for its database.

We do not sell visitor personal information or share it for cross-context behavioral advertising. The public directory does not use advertising pixels or third-party behavioral analytics integrations. We may disclose information when reasonably necessary to comply with law or protect the service and people using it. A public data correction may update a firm’s displayed facts; we do not publish a reporter’s email or private message as part of the directory.

Cookies, browser storage and tracking choices

The public directory uses the preference storage described above. Hosting or security services may use necessary cookies or similar technology to deliver and protect requests. Restricted administration, if you are an authorized operator, may use authentication cookies; public browsing does not require them.

You can remove saved preferences using your browser’s site-data controls. Blocking storage may prevent preferences and comparisons from persisting. We do not use visitor information for cross-site advertising, including when a Global Privacy Control signal is present. The site does not change its behavior in response to the older Do Not Track signal. External sites you visit through our links have their own practices.

Retention and security

Public filing history is retained to support source verification and historical comparisons. Communications and operational records are retained as needed to handle the request, operate and secure the service, and satisfy applicable recordkeeping obligations; the period depends on the record and purpose. Service-provider backups and logs follow the applicable provider’s retention processes. Theme preferences remain until changed or cleared; session storage normally ends when the tab session ends, subject to browser session restoration.

We use access restrictions and other safeguards appropriate to the service. No internet service or email transmission can be guaranteed completely secure. Information may be processed in the United States and other locations used by our service providers.

Your requests and choices

Contact kyle@greendogtech.com to ask about your information or request access, correction or deletion. Explain the request and provide only the information needed to locate the relevant record. We may need to verify that you are entitled to make the request. We will assess requests under applicable law, including any required response periods and exceptions. Public regulatory records may need to be retained for accuracy, provenance or legal reasons; a request to us does not change the original regulator’s filing.

If you find an incorrect firm fact, use the “Report a data issue” contact on its profile and include the CRD, source month and supporting public evidence. Do not email identity documents unless we first explain a necessary, secure verification method.

Children

RIA Monitor is a business research service, is not directed to children under 13, and does not knowingly collect their personal information. If you believe a child has sent us personal information, contact us so we can investigate and address it.

Changes and contact

We will post policy updates here and change the date above. Where legally required, we will provide additional notice or obtain consent before materially changing how previously collected personal information is used.

Privacy contact: GreenDOG Tech, North Dakota, USA. Email kyle@greendogtech.com.