Capital, LLC owns and operates this website. Dividend Assets Capital reserves the right to change any information contained herein without prior notice.

Investment Recommendations: The information provided on this website is for informational purposes only, is of a general nature and should not be construed as investment advice o

Regulatory Jurisdictional Restrictions: The information provided on this website provides general information about the services provided by Dividend Assets Capital. Nothing on this website is intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation, or that would subject Dividend Assets Capital to any registration requirement within such jurisdiction or country. Dividend Assets Capital does not claim that information on this website is appropriate or available for use outside of the United States.

Privacy Policy: Dividend Assets Capital, LLC (“Dividend Assets Capital”) places the highest importance on maintaining the confidentiality, integrity and security of your non-public personal information. Dividend Assets Capital maintains physical, electronic, and procedural protective measures that comply with federal standards to safeguard your nonpublic personal information. Dividend Assets Capital considers the protection of this sensitive information to be fundamental to establishing a relationship based on trust with its clients.

Personal Information Collection In the course of providing products and services, nonpublic information about you is collected. We do not disclose any nonpublic, personal information about your to nonaffiliated parties for use in marketing their products and/or services. Dividend Assets Capital only uses this information to better service your account(s) and provide you with information regarding your account. If you decide to close your account(s) or become an inactive investor, we will continue to adhere to this Privacy Policy. We restrict access to your nonpublic personal and financial information to those employees who need to know that information to provide services to you. We maintain physical, electronic, and procedural safeguards to protect your personal information.

Dividend Assets Capital may collect personal information about you from any of the following sources:

  • Account applications,
  • Other account forms,
  • Transactional activity in your account(s), or
  • Other sources with your consent or with the consent of your representative.

Dividend Assets Capital may use personal information about you to:

Protection and Disclosure of Personal Nonpublic Information Dividend Assets Capital will use this information only for the services required and as permitted by applicable law or regulation. Dividend Assets Capital is not permitted to share or use this information for any other purpose.

  • Service and maintain your account(s)
  • Process transactions,
  • Respond to inquiries from you or your representative,
  • Develop, offer, and deliver products and services, or
  • Comply with legal and regulatory requirements.

The information Dividend Assets Capital collects may be shared with companies that perform various services such as transfer agents, custodians, broker-dealers, and other financial institutions with whom Dividend Assets Capital has joint business relationship agreements. In addition, Dividend Assets Capital may share your information with its attorneys, accountants and auditors as well as with Government agencies, other regulatory bodies and law enforcement officials where applicable. Dividend Assets Capital requires any third party service providers (and their service providers) and financial institutions with whom it has agreements to maintain at least the same level of security that it provides.

  • Shredding: Any personal information about you or your account(s) with us that is not needed to maintain your account is multi-directionally shredded before being securely discarded or recycled. Dividend Assets Capital employs Iron Mountain to perform SEC-compliant shredding on our premises.
  • Internet Policy: Dividend Assets Capital website is for company information only. Dividend Assets Capital does not provide personal or account(s) information on our website. If you are interested, Dividend Assets Capital will provide you with the information needed to access your account(s) through your bank custodian or clearing firm.
  • E-Mail Policy: Even with encrypting, email may not be a secure way of transmitting personal information. It is our policy to ask that you do not submit your investment or personal information to us by email.
  • Policy Changes: From time to time, it may be necessary to change our Privacy Policy. Dividend Assets Capital will send you the revised privacy policy and post this policy on our website. The changes will take place immediately.

For questions about our policy, or for additional copies of this notice, please contact:

Additional Privacy Information

John C. Swhear, Esquire
Chief Compliance Officer

Dividend Assets Capital, LLC
58 Riverwalk Boulevard
Ridgeland, SC 29936

(866) 348-4769 Toll-Free
(843) 645-9700 Local
(843) 645-9701 Fax