Privacy Policy | Smith Capital Investors

Smith Capital Investors

Privacy Policy
(as of January 1, 2024)

Smith Capital Investors, LLC (“Smith Capital,” “we,” or “us”) respects your privacy and complies with SEC S-P Privacy Regulation. This Privacy Policy describes the types of information we may collect from you when you visit smithcapitalinvestors.com or use our other products and services that include an authorized link to this Privacy Policy (collectively, the “Services”), how we use the information we collect, with whom we share it, how we protect it, and the choices we offer you regarding our collection and use of such information.

1. Information We Collect

We may collect personal information about you, meaning information that can uniquely identify you, from various sources, such as:

The personal information we may collect about you may include, without limitation contact information, such as name, postal address, email address, and phone number.

When you use the Services, we may also collect certain information by automated means, such as cookies. A “cookie” is a text file that websites send to a visitor’s computer or another Internet-connected device to uniquely identify the visitor’s browser or to store information or settings in the browser. The information we may collect by automated means may include, without limitation, information about the device used to access the Services, the timing of such access, and the actions taken when using the Services. To the extent that we pair this information with your personal information, we will treat it following this Privacy Policy.

2. How We Respond to “Do Not Track” Signals

Your web browser may let you choose your preference as to whether you want to allow the collection of information about your online activities over time and across different websites or online services. We honor the preferences you may have set in your web browser regarding such collection of your information.

3. How We Use the Information We Collect

We may use the information we obtain about you to:

We may combine the information we collect with publicly available information and information we receive from our affiliated entities, business partners, and other third parties. We may use that combined information to enhance and personalize your experience with us, to communicate with you about products, services, and events that may be of interest to you, for promotional purposes, and other purposes described in this Privacy Policy.

We also may use the information we obtain about you in other ways for which we provide specific notice at the time of collection.

4. Disclosure of Information

We may disclose aggregated information about our users, and information that does not identify any individual user, without restriction. We may disclose personal information about you:

We also reserve the right to transfer your personal information to a buyer or other transferee in the event of a merger, divestiture, restructuring, reorganization, dissolution, sale, or other transfer of some or all of our assets. Should such a sale, merger, or transfer occur, we will use reasonable efforts to require the transferee to use your personal information in a manner that is consistent with our Privacy Policy.

5. Data Security

We have implemented measures intended to protect your personal information from accidental loss and unauthorized access, use, alteration, and disclosure. Please note that the electronic transmission of information is not completely secure. We cannot guarantee that the security measures we have in place to safeguard personal information will never be defeated or fail, or that such measures will always be sufficient or effective. Any transmission of personal information is at your own risk.

6. Your Choices

We offer you the following choices about the information we collect from you and how we communicate with you:

Cookies

Many web browsers allow you to manage your preferences. You can set your browser to refuse cookies or delete certain cookies. Unless you have adjusted your browser setting so that it will reject cookies, our system will issue cookies when you access or use our online services. In the event you refuse to accept cookies by adjusting your browser setting, some or all areas of our online services may not function properly or may not be accessible.

Promotional Communications

If you do not want us to use your contact information to promote our products or services, you can opt out by sending us an email stating your request to info@smithcapitalinvestors.com. Additionally, if you have received a promotional email from us, you can also opt out of receiving future promotional emails from us by following the unsubscribe instructions contained in such email.

7. Accessing and Changing Your Information

You may send us an email at info@smithcapitalinvestors.com to request access to, correct, or delete any personal information that you have provided to us. We may not accommodate a request to change information if we believe the change would violate any law or legal requirement or cause the information to be incorrect.

8. Children Under the Age of 13

The Services are not directed to, and Smith Capital Investors does not knowingly collect or solicit personal information from, children under the age of 13. If we learn we have collected or received personal information from a child under the age of 13, we will delete that information. If you believe we might have any information from or about a child under the age of 13, please contact us at info@smithcapitalinvestors.com.

9. Changes to our Privacy Policy

Smith Capital Investors reserves the right to update or change this Privacy Policy at any time. If we make a material change to our Privacy Policy, we will provide notice to you (by posting on our website) that our privacy practices have changed and will provide a link to the new policy. In the event we make a material change to how we use your personal information, we will provide you with an opportunity to opt out of such new or different use. The date this Privacy Policy was last updated is at the top of this page. We encourage you to review this Privacy Policy periodically to check for any updates or changes.

10. Data Transfers

Our Services are controlled, operated, and administered by Smith Capital Investors from its offices in the United States. This Privacy Policy is provided following and subject to applicable U.S. law. If you decide to access our Services from a location outside the United States, you hereby agree that your use of the Services is subject to this Privacy Policy and your personal information will be transferred or processed in the United States, which may have different data protection laws than those in the country where you reside.

11. Contact Us

If you have any questions about this Privacy Policy or our information practices, please email us at info@smithcapitalinvestors.com.

Smith Capital Investors, LLC

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Jake Jones

Jake Jones is an Investor at Smith Capital Investors. He joined the team as an intern while finishing up his degree at the University of Colorado at Boulder and assumed a full-time position with the firm in June 2023. Jake’s focus on the team is credit and valuation analysis.

Prior to joining the Smith Capital team, Jake completed several internships, including Middle Market Banking Intern at KeyBank, Investment Banking Intern at Quadriga Partners, and Business Development Intern at Envision Radiology. In addition, Jake served as an equity analyst on the student-led investment team under the Leeds Investment and Trading Group, which manages a portion of the school’s endowment.

Jake earned a Bachelor of Science degree in business administration from the University of Colorado at Boulder with a dual emphasis in finance and accounting. Originally from Colorado Springs, Colorado, Jake spends his free time following financial markets, reading, golfing, snowboarding, skiing, hiking 14ners, and hanging with his dog, Summit.

Why did you join Smith Capital Investors?

“Following the era of online school, I had a desire to join a tight-knit team, working together to achieve a common goal, yet centered around the relationships and people that make the goal worth striving for. Redefining workplace culture is at display in Smith Capital Investors people-centric atmosphere which creates an opportunity for me to surround myself with people that propel me in the direction of excellence while encouraging me to express my own perspectives and ideas.”

Favorite book, quote, thought, inspiration, lesson.

“Our entire life is a sum total of the decisions we make and with every action you are choosing a direction”
― Craig Groeschel

Ryan Duffy, CIMA®

Ryan Duffy is a senior member of Smith Capital Investors’ business development team, a position he has held since August 2020. Before joining the team, Ryan served 12 years at Principal Global Investors (PGI), with his most recent role as a Senior Market Director in Intermediary Sales covering Wire House, IBD, and RIF channels in the New England market. During his tenure at PGI, he earned several accolades for sales performance excellence. In total, Ryan has 19 years of industry experience.

Ryan earned a Bachelor of Arts in religious studies from St. Lawrence University. Additionally, he holds a Certified Investment Management Analyst (CIMA) designation. Ryan enjoys spending time with his wife, three children, and their dog. He is passionate about coaching his kid’s sports teams, health & fitness, and golf.

Why did you join Smith Capital Investors?

“I joined Smith Capital Investors because of the firm’s enduring commitment to people and service.”

Favorite book, quote, thought, inspiration, lesson.

“Focus on the process, and results will follow.”