MAXIMAI is committed to safeguarding the use of its clients’ personal information. MAXIMAI is committed to protecting the security and confidentiality of the personal information it obtains from its clients. MAXIMAI has implemented policies and controls to ensure that such information is used for proper business purposes in connection with the management or servicing of our relationship with our clients.

MAXIMAI does not sell its clients’ non-public personal information to anyone. MAXIMAI does not provide client information to others except for discreet and reasonable business purposes in connection with the servicing and management of our client’s accounts, as discussed below.

Federal and state laws require MAXIMAI to disclose how we collect, share and protect your personal information and give you the right to limit some of the information we share.

Details of our approach to privacy and how our clients’ personal non-public information is collected and used are set forth below.

Information we collect from you:

Government Issued ID such as driver’s license or passport number. Date of birth
Social security or taxpayer identification number Assets and liabilities
Name, address and telephone number(s) Income and expenses
E-mail address(es) Investment activity
Account information (including other institutions) Investment experience and goals

Information we collect from other sources:

Custody, brokerage and advisory agreements Account applications and forms
Other advisory agreements and legal documents Investment questionnaires and suitability documents
Transactional information with us or others Other information needed to service your account

How we protect your information:

To safeguard our clients’ personal information from unauthorized access and use, we maintain physical, procedural and electronic security measures. These include such safeguards as secure passwords, encrypted file storage and a secure office environment. Our technology vendors provide security and access control over personal information and have policies regarding the transmission of data. Our associates are trained in their responsibilities to protect clients’ personal information. We require third-party service providers to protect the personal information they receive from us.

How we share your information:

We share client personal information in order to administer our services effectively. In the section below, we list some reasons that we may share your personal information.

Basis For Sharing Do we share? Can you limit?
Serving our Clients

We may share non-public personal information with non-affiliated third parties (such as administrators, brokers, custodians, consultants, regulators, credit agencies other financial institutions) as necessary for us to provide agreed-upon services to you, consistent with applicable law, including but not limited to: processing transactions; general account maintenance; responding to regulators or legal investigations; and credit reporting.

Yes No
Marketing Purposes

MAXIMAI does not disclose, and does not intend to disclose, personal information with non-affiliated third parties to offer you services. Certain laws may give us the right to share your personal information with financial institutions at which you are a customer and with which you have or MAXIMAI has a formal agreement. We will only share information for purposes of servicing your accounts, not for marketing purposes.

No Not Shared
Authorized Users

Your non-public personal information may be disclosed to you and persons we believe to be your authorized agent(s) or representative(s).

Yes Yes
Information About Former Clients

MAXIMAI does not disclose, and does not intend to disclose, non-public personal information to non-affiliated third parties with respect to persons who are no longer our clients.

No Not Shared

Changes to our Privacy Policy

Periodically, we may revise our Privacy Policy and will provide our clients with an update or summary of any changes that materially alter the previous Privacy Policy. We will not, however, revise our Privacy Policy to permit the sharing of non-public personal information, other than as described in this notice, unless we first notify you and provide you with an opportunity to prevent the information sharing.


You may ask questions or voice any concerns, as well as obtain a copy of our current Privacy Policy, by contacting us.

Mutual Funds

Before investing, consider the investment objectives, risks, charges and expenses of the fund and its investment options. Contact MAXIMAI Investment Partners for a prospectus containing this information. Read it carefully.

An investment in a money market fund is not insured or guaranteed by the Federal Deposit Insurance Corporation or any other government agency. Although a money market fund seeks to preserve the value of your investment at $1.00 per share, it is possible to lose money by investing in the fund.