Investment advisers are required by law to inform their clients of their policies regarding privacy of client information.  We are bound by professional standards of confidentiality that are even more stringent than those required by law.  Federal law gives customers the right to limit some but not all sharing of personal information.  It also requires us to tell you how we collect, share, and protect your personal information. 

TYPES OF NONPUBLIC PERSONAL INFORMATION (NPI) WE COLLECT

We collect nonpublic personal information about you that is either provided to us by you or obtained by us with your authorization. This can include but is not limited to your name, phone number, email address, Social Security number, date of birth, banking information and financial account numbers and/or balances, sources of income, credit card numbers or information, Information provided via website forms, meeting transcriptions via AI, or direct communications. When you are no longer our customer, we may continue to share your information only as described in this notice. 

PARTIES TO WHOM WE DISCLOSE INFORMATION

Dixon and Company Wealth Management, LLC does not sell, share, or disclose your nonpublic personal information to any affiliates or non-affiliated third parties for joint marketing purposes or to allow them to market their products to you. We share personal information only as necessary for everyday business purposes—such as processing transactions, maintaining your accounts, responding to court orders, or complying with legal and regulatory obligations. While we utilize enterprise-grade, SOC 2 Type II compliant AI tools to transcribe and summarize meetings, these tools are strictly configured to prohibit your data from being used to train public models. Furthermore, if you opt-in to SMS communications, we will only use your phone number to deliver information relevant to your account or requested services; we do not share your mobile information with third parties for their own promotional use.

Use of Artificial Intelligence (AI) for Operational Efficiency We may utilize third-party Artificial Intelligence (“AI”) tools to transcribe and summarize client meetings to ensure the accuracy of our records and improve service delivery. We prioritize your privacy by only using enterprise-grade AI service providers that maintain SOC 2 Type II compliance, ensuring they meet rigorous independent standards for data security, availability, and confidentiality. These tools are specifically configured to prohibit your data from being used to train public AI models. You may request that we disable AI tools during any of our interactions.

PROTECTING THE CONFIDENTIALITY OF CURRENT AND FORMER CLIENT’S INFORMATION

To protect your personal information from unauthorized access and use, we maintain physical, electronic, and procedural safeguards that comply with federal law, including computer safeguards and secured files and buildings. We are bound by professional standards of confidentiality that are more stringent than those required by law, and we do not sell or share any of your private information for marketing purposes. These protections extend to both current and former clients; when you are no longer a customer, we may continue to share your information only as described in this notice, such as for everyday business purposes or legal compliance.

FEDERAL LAW GIVES YOU THE RIGHT TO LIMIT SHARING – OPTING OUT

Federal law gives you the right to limit the sharing of your nonpublic personal information (NPI) by “opting out” of sharing with affiliates for their everyday business purposes, such as information about your creditworthiness. You may also limit sharing with affiliates who use your information to market to you or with non-affiliates to market to you. Additionally, you have the specific right to opt out of SMS communications at any time by replying STOP to any message from us. While we utilize enterprise-grade AI tools for operational efficiency, you may also request that we disable these AI tools during any of our interactions. To exercise these rights or to request the correction or deletion of your personal information, please contact us at 336.245.8626 or tschweigert@dixonwm.com.

DEFINITIONS: 

  • Affiliates – companies related by common ownership or control.  They can be financial and nonfinancial companies; 
  • Non-affiliates – companies not related by common ownership or control.  They can be financial and nonfinancial companies; 
  • Joint marketing – a formal agreement between non-affiliated financial companies that together market financial products or services to you.