Effective: July 2026 · GoTo Financial, Inc.
Privacy Notice Regarding Client Privacy as Required by Regulation S-P & Regulation S-AM
Maintaining the trust and confidence of our clients is a high priority. That is why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information. This notice is provided to you on behalf of GoTo Financial.
Information We Collect
In connection with providing investment products, financial advice, or other services, we obtain non-public personal information about you, including information we receive from you on account applications, such as your address, date of birth, Social Security Number, occupation, financial goals, assets and income.
Categories of Information We Disclose
We may only disclose information that we collect in accordance with this policy. GoTo Financial does not sell customer lists and will not sell your name to telemarketers. We do not sell your personal information, and we do not share your nonpublic personal information with nonaffiliated third parties for their own marketing purposes. Because we share information only as permitted by law, you are not required to take any action to opt out.
Categories of Parties to Whom We Disclose
We will not disclose information regarding you or your account with us, except under the following circumstances:
- To your authorized investment adviser representative and his or her supervisor;
- To entities that perform services for us or function on our behalf, including financial service providers, such as our qualified custodian (Charles Schwab & Co., Inc.), a broker-dealer, investment company, or insurance company;
- To your attorney, trustee or anyone else who represents you in a fiduciary capacity;
- To our attorneys, accountants or auditors; and
- To government entities or other third parties in response to subpoenas or other legal process as required by law or to comply with regulatory inquiries.
How We Use Information
Information may be used among companies that perform support services for us, such as data processors, technical systems consultants and programmers, for a number of purposes, such as:
- To protect your accounts from unauthorized access or identity theft;
- To process your requests such as securities purchases and sales;
- To establish or maintain an account with an unaffiliated third party, such as a qualified custodian or broker-dealer providing services to you and/or GoTo Financial;
- To service your accounts, such as by issuing checks and account statements;
- To comply with Federal, State, and Self-Regulatory Organization requirements;
- To keep you informed about financial services of interest to you.
Regulation S-AM
Under Regulation S-AM, a registered investment adviser is prohibited from using eligibility information that it receives from an affiliate to make a marketing solicitation unless: (1) the potential marketing use of that information has been clearly, conspicuously and concisely disclosed to the consumer; (2) the consumer has been provided a reasonable opportunity and a simple method to opt out of receiving the marketing solicitations; and (3) the consumer has not opted out. GoTo Financial does not receive information regarding marketing eligibility from affiliates to make solicitations.
Our Security Policy
We restrict access to nonpublic personal information about you to those individuals who need to know that information to provide products or services to you and perform their respective duties. We maintain physical, electronic, and procedural security measures to safeguard confidential client information.
In addition, we maintain layered internal security practices, including encrypted online backups through third-party providers, encrypted external drives, file-encryption software for documents in transit, client notifications when we send or receive client checks, and daily review of activity in all accounts under our discretionary supervision. We maintain a business continuity plan designed to keep business functions and client service in operation in the event of an emergency. We will never ask you to send account numbers or Social Security information in unsecured email; we encrypt individual documents or use secure shared folders, and we are glad to help clients set up the same protections for their own correspondence.
Data Breach Notification
We maintain a written incident response program reasonably designed to detect, respond to, and recover from unauthorized access to or use of your information, consistent with the amended Regulation S-P (17 CFR 248.30). If we become aware that your sensitive customer information has been, or is reasonably likely to have been, accessed or used without authorization, we will notify you as soon as practicable, and no later than 30 days after we become aware of the incident, unless we reasonably determine the information is not likely to be used in a way that would result in substantial harm or inconvenience to you. Our notice will describe the incident and the steps you can take to protect yourself.
Your California Privacy Rights
Most of the personal information we collect about you as a client is financial information governed by the Gramm-Leach-Bliley Act and this Regulation S-P notice, which is exempt from the California Consumer Privacy Act (CCPA). To the extent the CCPA applies to any personal information we collect that is not covered by that exemption, California residents may have the right to request access to, correction of, or deletion of that information, and we do not sell or “share” personal information as those terms are defined under the CCPA. To exercise any applicable right, contact us using the information below.
Website Visitors
Our website does not require registration. If you submit our contact form, we collect the information you provide — such as your name, phone number, email address, and details about your situation — and use it only to respond to your inquiry. We do not sell that information or share it with third parties for their own marketing. Please do not include account numbers or other sensitive information in the form. Like most websites, this site may set basic cookies needed for site functionality, and pages may include embedded content (such as videos) that is subject to the host’s own privacy practices. You may contact us using the information below to ask about, correct, or request deletion of information you submitted through this website.
Closed or Inactive Accounts
If you decide to close your account(s) or become an inactive customer, our Privacy Policy will continue to apply to you.
Questions or Complaints
Please direct any questions or complaints related to our privacy policy to: Adam Meyers, GoTo Financial, 1300 Eastman Ave, #219, Ventura, CA 93003 · (818) 835-9053.