Why?Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing.  Federal law also requires us to tell you how we collect, share, and protect your personal information.  Please read this notice carefully to understand what we do. 



The types of personal information we collect and share depends on the product or service you have with us.  This information can include: 

  • Tax Identification Number, Date of Birth, Telephone Number and Address 
  • Annual Income, Tax Bracket, Account Balances and Transaction History
  • Net Worth, Assets and Employment History

When you are no longer our customer, we continue to share your information as described in this notice


How?All financial companies need to share clients’ personal information to run their everyday business. In the section below, we list the reasons companies can share their clients’ personal information; the reasons Prato Capital Management, Inc. chooses to share; and whether you can limit this sharing.  


Reasons we can share your personal information?Does Prato Capital Management, Inc. Share?Can you limit this sharing? 
For our everyday business purposes – Such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureausYesNo
For our marketing purposes – To offer our products and services to youYesNo
For Joint Marketing with other financial companies NoWe don’t share.

For our affiliates’ everyday business purposes – 

Information about your transactions and experiences 


For our affiliates’ everyday business purposes- 

Information about your creditworthiness

NoWe don’t share.
For non-affiliates to market to youNoWe don’t share


Who we are
Who is providing this notice?Prato Capital Management, Inc.


What we do
How does Prato Capital Management, Inc. Protect my personal information To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.
How does Prato Capital Management, Inc. collect my personal information?

We collect your personal information, for example, when you

  • Provide your personal information 
  • Seek Investment Advice
  • Complete an Application 

We also collect your personal information from other, such as credit bureaus, affiliates, or other companies. 

Why can’t I limit all sharing? 

Federal law gives you the right to limit only 

  • Sharing for affiliates’ everyday business purposes-information about your creditworthiness
  • Affiliates from using your information to market to you
  • Sharing for non-affiliates to market to you

State laws and individual companies may give you additional rights to limit sharing. 



Companies related by common ownership or control. They can be financial and non-financial companies. 

  • Prato Capital Management, Inc. does not share with affiliates so they can market to you. 

Companies not related by common ownership or control.  They can be financial and non-financial companies. 

  • Prato Capital Management, Inc. does not share with non-affiliates so they can market to you.  
Joint Marketing

A formal agreement between nonaffiliated financial companies that together market financial products or services to you. 

  • Prato Capital Management, Inc. does not jointly market.  


Questions? Call: (914) 930-6871