Privacy Policy

Dominion Private Wealth is located at:

Dominion Private Wealth serves individuals, families, professionals preparing for retirement, families building long-term wealth, business owners planning liquidity events, investors seeking disciplined wealth management, and individuals navigating complex financial decisions. Our services include holistic financial planning, investment advisory, wealth management, retirement planning, tax strategy and planning, estate planning coordination, risk management and insurance planning coordination, charitable planning and philanthropy, business owner wealth planning, and corporate retirement plan services.

This Privacy Policy applies to information collected through our website, contact forms, phone calls, emails, text messages, meetings, client communications, and other interactions with Dominion Private Wealth.

1. Information We Collect

We may collect personal information and nonpublic personal information directly from you, automatically through our website, or from third parties as permitted by law.

Information You Provide To Us

When you contact Dominion Private Wealth, submit a form, schedule a consultation, request information, or become a client, we may collect information such as:

• First name and last name
• Email address
• Phone number
• Mailing address or physical address
• Zip code
• How you heard about us
• Whether you are currently a Dominion Private Wealth client or are interested in becoming a client
• Questions, comments, goals, concerns, or other information submitted through our website
• Financial goals, planning objectives, risk tolerance, time horizon, family circumstances, business interests, retirement objectives, estate planning goals, tax planning concerns, and other information you choose to provide
• Account statements, tax returns, insurance policies, estate planning documents, retirement plan information, beneficiary information, income information, asset information, liability information, cash flow information, and related financial records, if you provide them in connection with advisory or planning services
• Communication preferences, including consent to receive phone calls, emails, and text messages

Information Collected Through Communications

When you communicate with Dominion Private Wealth by phone, email, text message, contact form, video meeting, in-person meeting, or other channels, we may collect and retain records of those communications. Phone calls may be recorded for quality assurance, training, compliance, documentation, and service purposes.

Website And Device Information

When you visit our website, we may automatically collect certain information through cookies, analytics tools, server logs, pixels, tags, scripts, or similar technologies, including:

• IP address
• Browser type
• Device type
• Operating system
• Pages viewed
• Date and time of visit
• Referring website or search engine
• Approximate geographic location derived from IP address
• Website interactions, clicks, form activity, and navigation behavior
• Session data and usage patterns

This information helps us understand how visitors use the website, improve website performance, support marketing and analytics, protect against fraud or misuse, and maintain website security.

Information From Third Parties

We may collect information from third parties when permitted by law and relevant to our services, including:

• Custodians, broker-dealers, investment platforms, financial institutions, insurance professionals, accountants, attorneys, payroll providers, retirement plan providers, or other professionals you authorize us to communicate with
• Publicly available sources
• Identity verification, compliance, cybersecurity, fraud prevention, or analytics providers
• Referral sources, if someone refers you to Dominion Private Wealth

2. Nonpublic Personal Information

Because Dominion Private Wealth provides financial planning and advisory-related services, some information we collect may be considered nonpublic personal information. Nonpublic personal information generally includes personally identifiable financial information that is not publicly available and that you provide to us, that results from transactions or services involving you, or that we otherwise obtain in connection with providing financial products or services.

Examples may include account balances, financial statements, Social Security numbers, tax records, investment objectives, transaction history, income, assets, liabilities, retirement account information, insurance information, estate planning information, beneficiary details, and other sensitive financial information.

We protect nonpublic personal information in accordance with applicable privacy, data security, financial services, and consumer protection requirements.

3. How We Use Information

Dominion Private Wealth may use collected information for the following purposes:

• To respond to inquiries and contact requests
• To schedule and conduct consultations
• To determine whether our services may be appropriate for your needs
• To provide financial planning, investment advisory, wealth management, retirement planning, tax planning coordination, estate planning coordination, risk management coordination, charitable planning, business owner planning, and corporate retirement plan services
• To develop, implement, monitor, and update financial plans and related strategies
• To coordinate with custodians, broker-dealers, investment platforms, accountants, attorneys, insurance professionals, and other professionals when authorized or necessary to provide services
• To open, service, administer, or maintain client relationships
• To communicate with you by phone, email, text message, mail, video meeting, or other channels
• To send appointment reminders, service updates, educational content, newsletters, follow-up messages, and other communications
• To maintain records required for legal, regulatory, accounting, audit, compliance, supervisory, or business purposes
• To comply with applicable laws, regulations, rules, examinations, subpoenas, court orders, regulatory inquiries, and law enforcement requests
• To prevent fraud, unauthorized activity, misuse, cybersecurity threats, or other harmful activity
• To improve our website, services, client experience, communications, and marketing
• To evaluate advertising, referral sources, website performance, and user engagement
• To enforce agreements, policies, and legal rights
• To protect the rights, property, privacy, security, and safety of Dominion Private Wealth, our clients, website visitors, employees, vendors, and others

Dominion Private Wealth does not use your personal information to make automated decisions that produce legal or similarly significant effects without appropriate human involvement.

4. How We Share Information

Dominion Private Wealth does not sell your nonpublic personal information. We do not share your personal information with unaffiliated parties for their independent marketing purposes without your consent, except as permitted or required by law.

We may share information in the following circumstances:

With Service Providers

We may share information with vendors, technology providers, website hosts, customer relationship management providers, email platforms, SMS platforms, analytics providers, cybersecurity providers, document storage providers, compliance consultants, professional service providers, and other service providers that support our business operations. These providers are expected to use information only as necessary to provide services to Dominion Private Wealth and to maintain appropriate safeguards.

With Financial And Professional Service Providers

When needed to provide services or when authorized by you, we may share information with custodians, broker-dealers, investment advisers, financial institutions, retirement plan providers, insurance professionals, accountants, attorneys, estate planning professionals, tax professionals, business advisors, and other professionals involved in your planning or advisory relationship.

With Regulatory, Legal, And Compliance Authorities

We may share information with regulators, self-regulatory organizations, government agencies, courts, law enforcement, auditors, compliance personnel, attorneys, or other parties when required or permitted by law, regulation, subpoena, examination, investigation, court order, legal process, or supervisory obligation.

In Connection With Business Operations

We may share information as necessary to protect against fraud, cybersecurity incidents, unauthorized transactions, claims, liability, or other risks. We may also share information in connection with a merger, acquisition, restructuring, sale, transfer, or other business transaction involving Dominion Private Wealth, provided appropriate confidentiality protections are used.

With Your Consent Or Direction

We may share information with any person or entity when you request, authorize, or consent to the sharing.

5. Categories Of Third Parties With Whom We May Share Information

Depending on your relationship with Dominion Private Wealth, information may be shared with:

• Financial custodians and account platforms
• Broker-dealers and registered investment advisers
• Compliance, supervisory, legal, and regulatory service providers
• Accountants, tax professionals, and estate planning attorneys
• Insurance professionals and independent brokers
• Retirement plan providers and administrators
• Technology, website, hosting, CRM, email, SMS, analytics, and cybersecurity vendors
• Document management and electronic signature providers
• Professional advisors and consultants
• Government agencies, courts, regulators, and law enforcement when legally required or permitted

6. No Sale Of Personal Information

Dominion Private Wealth does not sell personal information or nonpublic personal information. Dominion Private Wealth does not sell mobile phone numbers, SMS consent records, or text messaging opt-in data.

7. SMS And Text Messaging Policy

By submitting a website form or otherwise providing your phone number and consenting to communications, you authorize Dominion Private Wealth to contact you by phone, email, and text message. Text messages may include appointment reminders, consultation follow-ups, service-related communications, educational messages, and other communications related to your inquiry or relationship with Dominion Private Wealth.

Standard message and data rates may apply. Message frequency may vary.

You may opt out of text messages at any time by replying STOP to any text message from Dominion Private Wealth. After you send STOP, we may send a confirmation message to confirm that you have been unsubscribed. After that, you will no longer receive SMS messages from us unless you later provide renewed consent.

For help, you may reply HELP or contact Dominion Private Wealth at:

SMS consent is not a condition of purchasing or receiving services from Dominion Private Wealth. Consent to receive SMS messages is separate from consent to receive other communications.

Dominion Private Wealth does not sell, rent, or share SMS opt-in data or mobile phone numbers with third parties for their independent marketing purposes.

8. Email Communications

Dominion Private Wealth may send email communications related to your inquiry, consultation, client relationship, service updates, educational content, newsletters, planning topics, appointment reminders, or other relevant information.

You may unsubscribe from marketing or promotional emails by following the unsubscribe instructions included in the email, when available, or by contacting us at [email protected]. Even if you opt out of marketing emails, we may still send transactional, service-related, legal, compliance, or account-related communications.

Email is not always secure. You should avoid sending sensitive personal, financial, tax, account, or identification information by unencrypted email unless specifically instructed through a secure method.

9. Phone Calls And Call Recording

Dominion Private Wealth may contact you by phone regarding inquiries, consultations, appointments, client service, planning matters, or other business purposes. Phone calls may be recorded for quality assurance, training, documentation, compliance, and service purposes.

By communicating with Dominion Private Wealth by phone, you consent to call recording where permitted by applicable law. If you do not wish to be recorded, please notify us during the call or contact us through another available method.

10. Cookies And Website Tracking

Our website may use cookies and similar technologies to operate the website, improve user experience, analyze traffic, evaluate website performance, understand visitor behavior, support security, and assist with marketing or advertising measurement.

Cookies are small files stored on your browser or device. You may be able to disable or delete cookies through your browser settings. Some website features may not function properly if cookies are disabled.

We may use third-party analytics or advertising tools that collect information about website usage. These tools may use cookies, pixels, scripts, or similar technologies to help us understand traffic sources, page views, conversion activity, and engagement.

11. Do Not Track Signals

Some browsers allow users to send “Do Not Track” signals. Because there is no uniform industry standard for responding to these signals, our website may not respond to all Do Not Track signals. You may manage cookies and tracking preferences through your browser settings or applicable third-party tools.

12. How We Protect Information

Dominion Private Wealth maintains administrative, technical, and physical safeguards designed to protect personal information and nonpublic personal information from unauthorized access, misuse, loss, alteration, disclosure, or destruction.

These safeguards may include:

• Access controls
• Password protection
• Secure systems and networks
• Vendor oversight
• Confidentiality obligations
• Employee and service-provider access limitations
• Record retention and disposal practices
• Cybersecurity monitoring and risk management
• Secure document handling
• Incident response procedures
• Compliance and supervisory controls

No method of transmission or storage is completely secure. While we take reasonable steps to protect information, we cannot guarantee absolute security.

13. Data Retention

Dominion Private Wealth retains personal information and nonpublic personal information for as long as reasonably necessary to provide services, maintain client relationships, respond to inquiries, satisfy legal and regulatory obligations, resolve disputes, enforce agreements, maintain business records, and support compliance, audit, supervisory, and recordkeeping requirements.

Financial services records may be retained for periods required by applicable law, regulation, broker-dealer requirements, investment adviser requirements, supervisory policies, or professional obligations.

When information is no longer needed, Dominion Private Wealth will dispose of it using reasonable methods designed to prevent unauthorized access or use.

14. Your Privacy Choices

Depending on your relationship with Dominion Private Wealth and applicable law, you may have the right to:

• Request access to certain personal information we maintain about you
• Request correction of inaccurate information
• Request deletion of certain information, subject to legal, regulatory, contractual, or compliance retention obligations
• Opt out of marketing emails
• Opt out of SMS messages by replying STOP
• Limit certain types of information sharing where required by law
• Ask questions about our privacy practices

To exercise privacy choices, contact us at:

We may need to verify your identity before processing certain requests.

15. Financial Privacy Opt-Out Rights

Under applicable financial privacy laws, consumers may have the right to opt out of certain disclosures of nonpublic personal information to nonaffiliated third parties, unless an exception applies.

Dominion Private Wealth does not share nonpublic personal information with unaffiliated third parties for their independent marketing purposes. We may share information with nonaffiliated third parties as necessary to service your account, process transactions, maintain or administer your relationship with us, respond to your request, protect against fraud, comply with law, or as otherwise permitted or required by applicable financial privacy laws.

If Dominion Private Wealth’s information-sharing practices change in a way that creates an opt-out right under applicable law, we will provide appropriate notice and opt-out instructions.

16. Former Clients

Dominion Private Wealth protects the information of former clients in the same manner as current clients. We do not sell former client information. We retain and share former client information only as described in this Privacy Policy and as permitted or required by law.

17. Children’s Privacy

Dominion Private Wealth’s website and services are intended for adults and are not directed to children under the age of 13. We do not knowingly collect personal information from children under 13 through our website. If we learn that we have collected information from a child under 13 without appropriate consent, we will take reasonable steps to delete it.

18. Links To Third-Party Websites

Our website may contain links to third-party websites, including financial platforms, client login portals, social media websites, FINRA BrokerCheck, custodians, service providers, or other external resources. Dominion Private Wealth is not responsible for the privacy practices, security, content, or policies of third-party websites. You should review the privacy policies of any third-party websites you visit.

19. Client Login And Third-Party Platforms

If you access a client login, custodian portal, investment platform, planning software, document vault, electronic signature platform, or other third-party system, your use of that system may be governed by the third party’s own privacy policy, terms of use, cybersecurity practices, and disclosures. Dominion Private Wealth is not responsible for third-party platform privacy practices, except to the extent required by applicable law or contractual obligations.

20. State Privacy Rights

Depending on your state of residence, you may have additional privacy rights under applicable state privacy laws. These rights may include the right to access, correct, delete, or receive a copy of certain personal information, or to opt out of certain uses or disclosures.

Certain financial information collected, processed, or disclosed under federal financial privacy laws may be exempt from some state privacy law requirements. Dominion Private Wealth will respond to applicable state privacy requests in accordance with relevant law.

To submit a request, contact us at [email protected] or (602) 922-3556.

21. California Privacy Notice

Dominion Private Wealth does not sell personal information. Dominion Private Wealth does not sell or share mobile phone numbers, SMS consent, or text messaging opt-in information for third-party marketing.

If you are a California resident, California law may provide certain privacy rights regarding personal information, subject to exceptions for information governed by federal financial privacy laws and other legal exemptions. These rights may include the right to know, access, correct, delete, or limit certain uses of personal information, and the right not to be discriminated against for exercising privacy rights.

To submit a California privacy request, contact us at:

22. Data Security Incidents

If Dominion Private Wealth determines that a data security incident has occurred involving personal information or sensitive customer information, we will take reasonable steps to investigate, contain, and remediate the incident. Where required by applicable law or regulation, we will provide notice to affected individuals, regulators, service providers, or other parties.

23. Changes To This Privacy Policy

Dominion Private Wealth may update this Privacy Policy from time to time to reflect changes in our practices, services, technologies, legal requirements, or regulatory obligations. The “Effective Date” at the top of this Privacy Policy indicates when it was last updated.

Your continued use of our website or services after changes are posted means you acknowledge the updated Privacy Policy.

24. Contact Dominion Private Wealth

For questions about this Privacy Policy, our privacy practices, SMS communications, email communications, or your privacy choices, contact: