Privacy Policy & Client Information Notice
Oak Springs Wealth Management, LLC
Last Updated: July 16, 2026
At Oak Springs Wealth Management, LLC ("we," "our," or "us"), we are committed to protecting the privacy and security of the personal and business information entrusted to us. As an independent, SEC-registered investment advisor, we recognize that our relationship with you is built on trust, and we maintain the highest standards of confidentiality regarding your private information.
This Privacy Policy explains how we collect, use, safeguard, and share Non-Public Personal Information (NPI) of our current, prospective, and former clients, as well as visitors to our website, www.oakspringswm.com.
1. What Information We Collect
We collect personal information about you to help us provide tailored wealth management, investment planning, and financial advisory services. This information may include:
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Identifiers and Contact Details: Name, mailing address, email address, phone number, date of birth, and Social Security Number (SSN).
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Financial Profile & Asset Details: Bank account numbers, transaction histories, credit cards, investment holdings, account balances, sources and amounts of income, tax returns, and investment objectives.
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Website Usage Data: IP addresses, cookies, browser types, and statistics regarding how you navigate www.oakspringswm.com.
2. How We Use Your Information
We use your information strictly to conduct our business operations and serve your financial needs. Specifically, we use it to:
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Formulate comprehensive financial plans and manage your investment portfolios.
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Process transactions, maintain your accounts, and generate monthly or quarterly reporting.
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Verify your identity and protect your assets from fraud, unauthorized access, or security breaches.
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Communicate with you regarding your accounts, updates, and firm services.
3. How We Share Your Information
We do not sell your personal information to anyone. We only share client NPI under very limited circumstances as permitted or required by law, including:
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Service Providers & Custodians: With unaffiliated financial institutions (such as Charles Schwab, Fidelity, etc.) that hold your accounts, or third-party vendors who assist in servicing your accounts (such as specialized bill-pay and accounting software).
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Professional Associates: With your explicit consent, we may share information with your legal, tax, or accounting professionals (e.g., CPAs and estate attorneys) to coordinate your financial strategy.
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Legal & Regulatory Compliance: To respond to subpoenas, legal proceedings, regulatory examinations (such as SEC audits), or to cooperate with law enforcement authorities.
4. How We Protect Your Information
We restrict access to your non-public personal information to employees and authorized specialists who need that information to service your account.
To protect your information from unauthorized access and use, we maintain physical, electronic, and procedural safeguards that comply with federal standards. These safeguards include:
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Secure website communication using SSL encryption.
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Multi-Factor Authentication (MFA) on internal platforms.
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Continuous monitoring and rigorous assessment of third-party vendors to ensure they uphold identical data protection standards.
5. Your Choices & "Opt-Out" Rights
Under the Gramm-Leach-Bliley Act (GLBA), clients have the right to "opt out" of having their information shared with non-affiliated third parties for marketing purposes. However, because Oak Springs Wealth Management only shares your information with service providers to process and service your transactions, or as permitted by law, no opt-out options are triggered.
We do not share your information with third parties for joint marketing initiatives.
6. State-Specific Rights
Depending on where you reside in the US (such as California under the CCPA/CPRA), you may have additional rights regarding your personal information, including:
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The right to request disclosure of what personal data we collect.
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The right to request deletion of certain personal data.
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The right to correct inaccurate personal data.
Note: Data governed by GLBA is generally exempt from certain state-level consumer privacy acts, but we strive to offer transparent privacy practices to all clients nationwide.
7. Contact Us
If you have any questions, concerns, or requests regarding this Privacy Policy, please contact us at:
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Phone: 865-312-7660
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Website: www.oakspringswm.com
