MuniCrest Investment Management Company, LLC
that protecting the privacy and security of the personal information we obtain about our customers is
an important responsibility. We also know that you expect us to service you in an accurate and efficient
manner. To do so, we must collect and maintain certain personal information about you. We want you
to know what information we collect and how we use and safeguard that information.
Information We Collect: We collect certain nonpublic information about you ("Customer Information").
The essential purpose for collecting Customer Information is to allow us to provide advisory services to
you. Customer Information we collect may include:
• Information that you provide on applications or other forms. This Customer Information may
include personal and household information such as income, spending habits, investment
objectives, financial goals, statements of account, and other records concerning your financial
condition and assets, together with information concerning employee benefits and retirement
plan interests, wills, trusts, mortgages and tax returns.
• Identifying information such as your name, age, address, social security number, etc.
• Information about your transactions with us, or others (e.g., broker-dealers, clearing firms, or
other chosen investment sponsors).
• Information we receive from consumer reporting agencies (e.g., credit bureaus), as well as
other various materials we may use to provide an appropriate recommendation or to fill a
Security of Your Information: We restrict access to your nonpublic personal information to those
employees who need to know that information to service your account. We maintain physical,
electronic and procedural safeguards that comply with applicable federal or state standards to protect
your nonpublic personal information.
Information We Disclose: We do not disclose the nonpublic personal information we collect about our
customers to anyone except: (i) in furtherance of our business relationship with them and then only to
those persons necessary to effect the transactions and provide the authorized services (such as
broker-dealers, custodians, independent managers etc.); (ii) to persons assessing our compliance with
industry standards (e.g., professional licensing authorities, consultants, etc.); (iii) our attorneys,
accountants, and auditors; or (iv) as otherwise provided by law.
We are permitted by law to disclose the nonpublic personal information about you to governmental
agencies and other third parties in certain circumstances (such as third parties that perform
administrative or marketing services on our behalf or for joint marketing programs). These third parties
are prohibited to use or share the information for any other purpose.
Massachusetts Residents: Our firm is forbidden to share any information which qualifies as private
unless you specifically agree to, or "opt in", to sharing such information. In other words we must
provide the option for Massachusetts clients to provide their signature/signed statement in order to
affirmatively give their consent ("opt-in") to having their non-public personal information shared with an
Former Clients: If you decide to close your account(s) or become an inactive customer, we will
adhere to our privacy policies, which may be amended from time to time.
regarding how we use your confidential information, we will provide written notice to you. Where
applicable, you would be given an opportunity to opt-in or opt-out of such disclosure arrangements.
Questions: If you have questions about this privacy notice or about the privacy of your customer
information call our main number 877-227-0847 and ask to speak to the Chief Compliance Officer.