WARRANTIES & DISCLAIMERS

Stumpf Capital Management LLC (“SC”) is a registered investment adviser located in Burlingame, CA. SC may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. SC’s website is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of SC’s web site on the Internet should not be construed by any consumer and/or prospective client as SC’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet.

Any subsequent, direct communication by SC with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of SC, please contact the state securities regulators for those states in which SC maintains a registration filing. A copy of SC’s current written disclosure statement discussing SC’s business operations, services, and fees is available at the SC's investment adviser public information website – www.adviserinfo.sec.gov or from SC upon written request.

There are no warranties implied. SC does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to SC’s web site or incorporated herein, and takes no responsibility therefor. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

This website and information are provided for guidance and information purposes only. Investments involve risk and unless otherwise stated, are not guaranteed. Be sure to first consult with a qualified financial adviser and/or tax professional before implementing any strategy. This website and information are not intended to provide investment, tax, or legal advice.

Some corporate retirement plan clients use recordkeepers that require an insurance license. Corporate retirement plan insurance products and services that utilize such recordkeepers are offered and sold through individually licensed and appointed insurance agents, and in some cases thru SC registered representatives’ public securities broker dealer, KW Securities, Member FINRA/SIPC. In addition, some private wealth management clients have annuities or other insurance-based products, which may also be offered through individual insurance licenses or KW Securities.

Certain private placement transactions and secondary private company stock sales are offered exclusively through SC registered representatives’ private securities broker dealer, Rainmaker Securities, LLC, Member FINRA/SIPC. In such cases, SC advisors act as registered representatives and facilitate transactions on behalf of Rainmaker Securities.

PRIVACY POLICY

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 the customer 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. Below are the privacy policy and protocols for Stumpf Capital. Please contact us if you have any questions, comments, concerns regarding any matter contained herein.

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 Social Security Number, Date of Birth, Banking Information, Financial Account Numbers and/or Balances, Sources of Income, Tax Returns, Mortgage Information, Estate Planning Documents, and Credit Card Numbers or Information. 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 NPI

All Investment Advisers may need to share personal information to run their everyday business. In the section below, we list the reasons that we may share your personal information:

  • For our and our affiliates and service providers’ everyday business purposes, such as to process your transactions, maintain your account(s), provide performance reporting, or archive and organize your data;

  • To allow us to, either directly or in conjunction with non-affiliates, market, sell, or offer various investment related products & services to you;

  • In connection with the joint provision of financial advice involving complementary service providers such as estate planning, tax, or lending professionals;

  • Or to respond to court orders, financial regulatory organizations such as FINRA & the SEC, or legal investigations.

If you are a new customer we may begin sharing your information on the day you sign our agreement. When you are no longer our customer, we may continue to share your information as described in this notice. However, you can contact us at any time to limit our sharing.

PROTECTING THE CONFIDENTIALITY OF CURRENT & FORMER CLIENT INFORMATION

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law, including computer safeguards and secured files and building.


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

Federal law allows you the right to limit the sharing of your NPI by “opting-out” of the following: sharing for non-affiliates’ everyday business purposes – information about your creditworthiness; or sharing with affiliates or non-affiliates who use your information to market to you. State laws and individual companies may give you additional rights to limit sharing. Please notify us immediately if you choose to opt out of these types of sharing.

DEFINITIONS

Affiliates – Companies related by common ownership or control. They can be financial and non-financial companies.

Non-Affiliates – Companies (financial and non-financial) not related by common ownership or control.

Joint Marketing – An agreement among non-affiliated companies that co-market financial products or services to you.