Clients

In order to protect your personal information, we maintain physical, electronic, and procedural safeguards to protect your personal information. Our privacy policy restricts the use of client information and requires that it be held in strict confidence. Here are some of the security protocols we have in place to protect your information:

• Enterprise Grade Firewall to protect from outside threats.
• Patch Management to keep our systems up to date and prevent serious security risks.
• Enterprise Virus Protection to prevent, detect, and remove malware.
• Data at Rest File Encryption to prevent data visibility in the event of unauthorized access or theft.
• DLP Protection to detect potential data breaches/data ex-filtration transmissions and prevent them by monitoring, detecting and blocking sensitive data.
• Onsite Security System to provide monitoring and protection for our office locations.
• Enterprise Backup to serve as a backup storage system for our data.
• Encrypted File Transfer to provide a way for us and our clients to safely share files.
• System Monitoring to serve as our IT team to help track and manage all IT assets.
• Cloud Encrypted Systems to encode our data before it’s transferred to cloud storage, ultimately transforming data to an unreadable form that can conceal it from unauthorized and malicious users.
• Security Policy Reviews to keep all of our security policies up-to-date and ever expanding.

As a client of Alliant Wealth Advisors, you share both personal and financial information with us. Your privacy is important to us, and we are dedicated to safeguarding your personal and financial information. In the normal course of doing business, we typically obtain the following nonpublic personal information about our clients:

• Personal information regarding our client identity such as name, address, date of birth and social security number;
• Information regarding securities transactions effected by us; and
• Client financial information such as net worth, assets, income, bank account information, and account balances

We do not sell information about current or former clients to third parties, nor is it our practice to disclose such information to third parties unless requested to do so by a client or client representative, or, if necessary, in order to process a transaction, service an account, or as permitted by law. We are required by law to annually provide a notice describing our privacy policy. In addition, we will inform you promptly if there are changes to our policy. To view our most recent privacy policy, please click here.

Clients are billed quarterly in advance and fees are based on the account asset value at the time the account is established and, thereafter, on the last business day of the immediately preceding quarter. Fees are deducted directly from client accounts (clients may not select direct billing as payment method). Please refer to our ADV for more info.

We monitor the implementation of our recommendations, as well as the progress of your investment portfolio. We communicate your progress in our regularly scheduled meetings and provide ongoing advice. Our Wealth Management Plan can give you insight into our process and what wealth management can accomplish and what that means for meeting your financial goals. This is where everything comes together, and you can understand the role your wealth manager will play as your personal financial advisor as well as what is expected for you to complete to assist us along the way. This Advanced Planning Diagram depicts this overall picture and can help you track the four activities involved with wealth management. This can be seen as a further iteration of the Total Client Profile that we create at your Discovery Meeting. This allows us both to see the big picture. All the activities are on a single page and can be color-coded as to whether it is already completed, is in progress, or is slated for the future. This diagram will also help our discussions stay focused at our Regular Progress Meetings.

We take a team approach when it comes to our clients. No matter who you are working with you’ll receive consistent service thanks to our proprietary software and processes. So while you will be assigned a lead advisor, you’ll get the very best from all of our highly credentialed team members.

Twice-yearly regularly scheduled progress meetings with your advisor will be designated to review progress towards your goals and prioritize our recommendations. Plus we routinely schedule additional meetings to meet special needs. In between these meetings, you will also receive a biweekly newsletter, keeping you apprised of financial news and firm updates, as well as a quarterly market report. If an emergency arises, your lead advisor is always available within a reasonable timeframe. If you leave a message during work hours (Monday through Friday between 9 am to 5 pm), you can expect a returned call that day, or by the following business day at the latest. We strive to ensure our advisors are easily accessible and adaptable to your communication preferences.

We prefer to work with yours! Partnering with your professional team and forming relationships with any key family members assists us in ensuring an all-encompassed plan and a smooth relationship.

1099s can be accessed through your custodian portal or you can give us a call and we’d be happy to mail you a copy.