Trio Wealth Management, LLC Privacy Policy.

Trio Wealth Management, LLC (“TWM”) recognizes that our relationship with current, former and prospective clients (“Clients”) is based on integrity and trust. We work hard to maintain your privacy and to preserve the private nature of our relationship with you. We place the highest value on the information you share with us. TWM will not disclose your personal information to anyone unless it is required by law or at your direction. We will not sell your personal information.

For purposes of this Privacy Policy, “Clients” include both current and former advisory clients, and prospective clients who provide nonpublic personal information in connection with evaluating advisory services. We want our clients to understand what information we collect, how we use it, and how we protect your personal information.

Why We Collect Your Information

We gather information about you so that we can:

  • Help design and implement the investment and financial planning related services we provide you;
  • Process transactions and maintain your accounts;
  • Communicate with you about your accounts and our services; and
  • Comply with the Federal and State laws and regulations that govern us.

What Information We Collect and Maintain

We may collect the following types of “nonpublic personal information” about you:

  • Information from our initial meeting or subsequent consultations about your identity, such as your name, address, phone number, email address, social security number, date of birth, financial account information, employment information, income, net worth, investment objectives, and risk tolerance;
  • Information that we generate to service your financial needs, such as account balances, transaction history, and your investment holdings; and
  • Information that we may receive from third parties in connection with the services we provide you, including data from your custodians, other financial institutions, or other professional service providers.

What Information We Disclose

We are permitted by law to disclose nonpublic personal information about you to unaffiliated third parties in certain circumstances. TWM may disclose client’s nonpublic personal information as follows:

  1. to individuals and/or entities not affiliated with TWM, including, but not limited to third-parties that assist us in the servicing of, the supervision of or the management of your account(s) (i.e., service providers, sub-advisers, account custodians, record keepers, attorneys, broker-dealers, portfolio management platforms, cybersecurity vendors, etc.);
  2. to service providers contracted by us to perform the duties in furtherance of the client’s engagement with TWM (i.e. client management systems, archiving technology vendors, cloud service providers, etc.);
  3. to professional advisers, such as attorneys or accountants, in connection with services provided to you or to TWM;
  4. to your authorized representative, trustee, or power of attorney;
  5. when we receive your prior consent;
  6. in connection with a proposed or actual sale, merger, or transfer of all or a portion of our business; and
  7. as otherwise permitted to do so or required to do so in accordance with the parameters of applicable federal and/or state privacy regulations or to law enforcement agencies.

Privacy Policy

TWM does not currently disclose nonpublic personal information to nonaffiliated third parties in such a way that requires our client’s right to opt out under Regulation S-P. If TWM has a change to its client privacy policy that would allow it to disclose nonpublic personal information not covered under applicable law, TWM will allow our clients the opportunity to opt-out of such disclosure.

How We Protect Your Personal Information

Privacy is important to TWM. We restrict and limit access to client information only to those who need to carry out their business functions. We safeguard client information by preventing its unauthorized access, disclosure, or use.

We maintain physical, electronic, and procedural safeguards that are reasonably designed to protect the security and confidentiality of your personal information and to mitigate anticipated threats/hazards and unauthorized use or access to client nonpublic information. These include, where appropriate and applicable, access controls, ensuring encryption in data transfer, conducting vendor oversight, and the establishment of incident response procedures. Further, arrangements with companies or independent contractors not affiliated with TWM will be subject to confidentiality agreements and/or Privacy Policy.

TWM requires the secure disposal of client information, which includes shredding physical documents and permanently deleting electronic records in accordance with applicable regulatory retention requirements.

Former Clients

Even if we cease to provide you with financial services, our Privacy Policy will continue to apply to you, and we will continue to treat your nonpublic personal information with strict confidentiality. We maintain all records regarding all former clients for the retention period required by law.

Contact Us

Clients are encouraged to discuss any questions regarding privacy policies and procedures directly with Michelle Hundley, Chief Compliance Officer of TWM. Please contact Michelle Hundley at (703) 459-9171.

03-2026