Last Modified: February 28, 2017


At AdviserXchange (“AX”, "we", "us", or "our"), a division of ENTERPRISE FINANCIAL PARTNERS, LLC, protecting your privacy is very important to us. Our goal is to treat the personal information you furnish us with the utmost respect and in accordance with this Privacy Policy (“Privacy Policy”). This Privacy Policy is currently applicable only to our United States customers and visitors when they interact with our website (the "Website"). Your use of the Website is subject to this Privacy Policy and to the Terms of Use. This Privacy Policy describes the types of information we may collect from you or that you may provide when you visit the Website and our practices for collecting, using, maintaining, disclosing, and protecting that information.


This Privacy Policy applies to information we collect: on the Website; in email or other communications between you and AX for purposes of inclusion on the Website, but it does not apply to information collected by us offline or through any other means, including on any other website operated by a third party; or any third party.


Please read this Privacy Policy carefully to understand our policies and practices regarding your information and how we will treat it. If you do not agree with our policies and practices, your choice is not to use the Website.


This Privacy Policy may change from time to time. Your continued use of the Website after we make changes is deemed to be acceptance of those changes, so please check the policy periodically for updates.


Information We Collect from and about You and How We Collect It.


We collect several types of information from and about users of the Website, including information:

  • by which you may be personally identified, such as name, postal address, email address, telephone number, or any other information the Website collects that is defined as personal or personally identifiable information under applicable law;

  • about you, but individually does not identify you, such as your employer or associated company;

  • about your business, such as your broker-dealer, RIA affiliation, assets under management, annual revenue, or operating expenses;

  • pertaining to your credit card, debit card, or other payment information, which is collected and processed by a third-party service provider; and/or

  • about your internet connection, the equipment you use to access the Website, and usage details.

We collect this information directly from you when you provide it to us and automatically as you navigate through the Website. Information collected automatically may include usage details, IP addresses, and information collected through cookies, web beacons, and other tracking technologies.


Personal Information Collection. The information we collect on or through the Website may include:

  • Information that you provide by filling in forms on the Website or through other communications with us. This includes information provided at the time of registering to use the Website, creating a profile on the Website, subscribing to our services, posting material, or requesting further services.

  • Records and copies of your correspondence (including email addresses), if you contact us.

  • Details of transactions you carry out through the Website.

You also may provide information to be published or displayed (hereinafter, “posted”) on public areas of the Website, or transmitted to other users of the Website or third parties (collectively, “User Contributions”). Your User Contributions are posted on and transmitted to others at your own risk. Although we limit access to certain pages, please be aware that no security measures are perfect or impenetrable. Additionally, we cannot control the actions of other users of the Website with whom you may choose to share your User Contributions. Therefore, we cannot and do not guarantee that your User Contributions will not be viewed by unauthorized persons.


Information We Collect Automatically. You can visit AX on the web without telling us who you are or revealing any information about yourself, including your email address. However, as you navigate through and interact with the Website, we may use automatic data collection technologies to collect certain information about your equipment, browsing actions, and patterns, including:

  • details of your visits to the Website, including traffic data, location data, logs, and other communication data and the resources that you access and use on the Website; or

  • information about your computer and internet connection, including your IP address, operating system, and browser type.

The information we collect automatically is statistical data and does not include personal information, but we may maintain it or associate it with personal information we collect in other ways. This information may be used by us and our business partners to:

  • measure the number of visits, average time spent, page views, and other statistics about visitors to the Website in general;

  • store information about your preferences, allowing us to customize the Website according to your individual interests; and/or

  • monitor site performance and to make the site easier and more convenient to use.

Cookies (or browser cookies). A cookie is a small file placed on the hard drive of your computer. You may refuse to accept browser cookies by activating the appropriate setting on your browser. However, if you select this setting you may be unable to access certain parts of the Website. Unless you have adjusted your browser setting so that it will refuse cookies, our system will issue cookies when you direct your browser to the Website.


Flash Cookies. Certain features of the Website may use local stored objects (or Flash cookies) to collect and store information about your preferences and navigation to, from, and on the Website. Flash cookies are not managed by the same browser settings as are used for browser cookies.


Web Beacons. Pages of the Website and our emails may contain small electronic files known as web beacons (also referred to as clear gifs, pixel tags, and single-pixel gifs) that permit AX, for example, to count users who have visited those pages or opened an email and for other related website statistics (for example, recording the popularity of certain website content and verifying system and server integrity).


How We Use Your Information


We use information that you provide to us or that we collect about you, including any personal information:

  • to present the Website and its contents to you;

  • to provide you with information, products, or services that you request from us;

  • to fulfill any other purpose for which you provide it;

  • to provide you with notices about your account/profile;

  • to carry out our obligations and enforce our rights arising from any contracts entered into between you and us, including for billing and collection;

  • to notify you about changes to the Website or any products or services we offer or provide through it;

  • in any other way we may describe when you provide the information; and

  • for any other purpose with your consent.

We may also use your information to contact you about goods and services that may be of interest to you.


Disclosure of Your Information


We may disclose personal information that you provide or we collect as described in this Privacy Policy:

  • to our subsidiaries and affiliates;

  • to contractors, service providers, and other third parties we use to support our business;

  • to a buyer or other successor in the event of a merger, divestiture, restructuring, reorganization, dissolution, or other sale or transfer of some or all of our assets, in which personal information held by us about the Website users is among the assets transferred;

  • to fulfill the purpose for which you provide it (For example, any information that you post to a chat room, bulletin board, or otherwise post as a User Contribution may be available to all persons accessing that part of the Website);

  • for any other purpose disclosed by us when you provide the information; and/or

  • with your consent.

We may also disclose your personal information to comply with any court order, law, or legal process, including to respond to any government or regulatory request; to enforce or apply our Terms of Use and other agreements, including for billing and collection purposes; or if we believe disclosure is necessary or appropriate to protect the rights, property, or safety of AX, our customers, or others.

Additionally, we may aggregate statistics that we gather about our customers, sales, traffic patterns, and services and provide these statistics to third parties; when we do, however, these statistics will not include any personal information that identifies individuals.


How We Secure and Protect Your Information


We instruct our employees and agents with access to your information that it is to be used only in adherence with the principles set forth in this Privacy Policy and the applicable laws. Employees and agents who misuse customer information are subject to disciplinary action.


Third-Party Providers. The websites of third parties accessed from the Website have different privacy policies and are not subject to this Privacy Policy. We recommend that you read the privacy statement of each such website to find out how your personal information is protected.


Your California Privacy Rights. California Civil Code Section § 1798.83 permits users of the Website that are California residents to request certain information regarding our disclosure of personal information to third parties for their direct marketing purposes. To make such a request, please send an email to or write us at: AdviserXchange, P.O. Box 7471 Oxford, AL 36203.


Children Under the Age of 13. The Website is not intended for children under 13 years of age. No one under age 13 may provide any information to or on the Website. We do not knowingly collect personal information from children under 13. If you are under 13, do not use or provide any information on the Website or on or through any of its features/register on the Website, make any purchases through the Website, use any of the interactive or public comment features of the Website, or provide any information about yourself to us, including your name, address, telephone number, email address, or any screen name or user name you may use.


To Contact Us or Correct Your Information. You may access the data collected by AX about you by sending a request to the address listed below. If you believe that an error has been made in the accuracy of the data collected from you, AX will correct such error upon adequate verification of the error and the identity of the person seeking the correction. If you wish to access or correct any personally identifying data that you have supplied to AX or if you have any questions about this Privacy Policy, you may contact us by sending a letter by U.S. Mail to:



P.O. Box 7471

Oxford, AL 36203


Please understand that in order to protect your privacy and security, we also may need to take reasonable steps to verify your identity before granting access or making corrections.