AlphaCore Capital LLC, an independent investment management firm, is committed to safeguarding confidential information. We have adopted policies intended to protect the personal information of all of our present and former clients.
The categories of non public information we collect from you about your personal finances may include: 1) information we receive from you on applications or other forms, 2) verbal or written communications, and 3) information about transactions enacted on your behalf at your investment custodian. We use this information to assist you in meeting your personal financial goals.
In order to implement strategies and transactions, we may be required to provide this information to non-affiliated third parties. Only the information required to implement the strategy or transaction is provided. Non-affiliated third parties often include discount broker/dealers, tax professionals, attorneys, bankers, and other investment related businesses with which you do business. If required, we may disclose non public personal information, such as name and brokerage account number, to a third party service provider in connection with the filing of class action securities claims on your behalf. Participation is strictly voluntary and you may opt out of this service at any time.
Internally, we limit access to your personal information to those employees who need to know in order to conduct our business, service your account, and assist you in accomplishing your investment objectives. In addition, each employee is required to comply with AlphaCore Capital LLC Code of Ethics, Privacy Policy, and Privacy & Information Security Policy, which reiterates the confidentiality of all our clients’ information. In complying with applicable laws and regulations, we maintain physical, electronic, and procedural safeguards to protect your personal information.
We maintain a secure office to ensure that your information is not placed at unreasonable risk. Electronic information is subject to all reasonable access control and intrusion prevention technologies. Physical access to electronic and paper records is secured with access codes and locks. We do not provide your personal information to mailing list vendors or solicitors.
Personal identifiable information about you will be maintained during the time you are a client, and thereafter, as such records are required to be maintained by federal and state securities law, and consistent with the CFA Standards of Practice and the CFP Board’s Standards of Professional Conduct. As permitted by law, federal and state securities regulators may review AlphaCore Capital LLCs records and your personal records, as well as consultants and attorneys to assist in meeting our regulatory obligations. After the required period of record retention, all information may be destroyed.
Investing in mutual funds involves risk including the possible loss of principal. Equity market-related swap contracts and options involve leverage risk, tracking risk and counterparty default risk. Option positions may expire worthless exposing the Fund to potentially significant losses.
ETFs and mutual funds are subject to investment advisory and other expenses, which will be indirectly paid by the Fund. As a result, the cost of investing in the Fund will be higher than the cost of investing directly in ETFs and mutual funds and also may be higher than other mutual funds that invest directly in common stocks and other securities.
The advisor’s dependence on its asset allocation and risk management strategies and judgments about the attractiveness, value and potential appreciation of particular securities and derivatives may prove to be incorrect and may not produce the desired results.
An investor should consider the Fund’s investment objectives, risks, charges and expenses carefully before investing or sending money. This and other important information about the AlphaCore Absolute Fund can be found in the Fund’s prospectus. To reach AlphaCore Capital LLC please call 858-875-4100. Please read the prospectus carefully before investing. The AlphaCore Absolute Fund is distributed by Northern Lights Distributors, LLC., Member FINRA/SIPC. 4723-NLD-10/17/2016