Herges Capital Management LLC (“Herges Capital”) is committed to protecting the privacy of its clients. Proper record keeping is an integral part of its business practice and all client records are maintained in compliance with the regulations of the California Department of Business Oversight, the Commodity Futures Trading Commission and the National Futures Association.
The types of information Herges Capital collects in connection with providing services to a client as an investment advisor and commodity trading advisor includes, but is not limited to: name and address; tax identification numbers; withholding information, where relevant; investment experience; financial background; and bank or brokerage account information. Herges Capital maintains physical, electronic and procedural safeguards to protect non-public personal information.
Herges Capital’s website utilizes cookies to make it easier for users to log on to and use the site during future visits. They also help Herges Capital to improve the website and deliver a better and more personalized service by enabling Herges Capital to monitor website traffic to estimate usage numbers and patterns, to store information about user preferences, and to enables Herges Capital to customize its website according to user interests. Users may refuse to accept cookies by activating the setting on their browser which allows them to refuse the setting of cookies.
Herges Capital does not share any non-public information related to a client account that it manages or operates, or has managed or operated in the past, to third parties without the consent of the client, except in certain circumstances. These circumstances include situations where the disclosure of non-public information is: i) necessary to provide the client with the agreed upon service (i.e., to third-party service providers); ii) made to affiliates or other firms that assist in providing services to the client account, such as an administrator, custodian, broker or dealer; iii) provided to financial institutions or service providers with whom Herges Capital has entered into a joint-marketing agreement; or iv) disclosed to auditors, attorneys, regulators, or other authorities as required by law. To the extent that information is disclosed to any of these entities and to the extent possible, each will be required to maintain the information as confidential.