About us

privacy & security


Your privacy on the Internet is important to NABCAP. As part of the services offered by NABCAP, certain pieces of information are distributed about Financial Advisory Practices, Financial Firms, the Financial Services Industry and all users. Below are explanations regarding the types of information collected, what is done with it, and how to correct or change the information:

General & Specific Users


NABCAP will not provide personally identifiable information in the NABCAP database record to third parties except as noted under "Limits of Confidentiality." Personally identifiable information means the member's name, business address, firm name, advisory practice name and members, phone number, web address, e-mail address, or other information from which the member's identity may be reasonably ascertained. NABCAP uses proprietary technologies to preserve the anonymity of members. NABCAP will under no circumstance knowingly reveal any Investor's identity to marketers.

Limits of confidentiality

As part of its day-to-day business activities, NABCAP must disclose certain aggregate level information about the NABCAP database to certain third parties; principally, (1) NABCAP Users, (2) Financial Advisors, (3) Financial Firms, (4) Media and (5) Third-party resources who contribute data to the NABCAP database. Below is the information and circumstances under which NABCAP may be required to disclose information to third parties.

Due to the existing legal, regulatory and security environment, NABCAP may be required, under certain circumstances, to disclose aggregate level and/or personally identifiable information about its members. NABCAP will use its best efforts to limit such disclosure to the following: where NABCAP believes in good faith that it is required to do so in response to a subpoena or other legal process; where reasonably required to do so in order to maintain, update or otherwise implement NABCAP data security measures, equipment, technical operations and the like; or where reasonably necessary to identify, contact or bring legal action against persons or entities to preserve and/or enforce NABCAP's rights.

Use of Information

NABCAP uses its database information to deliver NABCAP services.

Financial Advisory Practice information is used in context for processing, reviewing, consulting, ranking, certifying and publishing within the confines of NABCAP's services and contractual agreements and/or obligations.

Thus, both Investor and Financial Advisor information is used in aggregate in identifying information that may be of interest to its users.


We do not use cookies at this time.

Unsubscribe Policy

You can choose to unsubscribe from communications at any time. You can unsubscribe from communications by clicking here now: Unsubscribe@NABCAP.org. Please allow approximately one week for the removal process to be complete.

NABCAP and its affiliates maintain a state of the art data center that utilizes all the leading security technologies. The information is protected by a firewall and an unparalleled security infrastructure. Only authorized employees have access to our data center.

Policy Changes

The foregoing policy is effective as of February 2009. NABCAP reserves the right to change this policy at any time. Please check this page periodically for changes. NABCAP will take reasonable measures to notify you if there is a material change in our privacy practices with respect to use of the information that has been provided to NABCAP or its affiliates. NABCAP will conspicuously post these changes in our Privacy Policy. NABCAP will also post a message on the home page of its Web site that states that the Privacy Policy has been changed, and will provide a link to the Privacy Policy. These postings will occur on the NABCAP Web site at least 30 days prior to any material change. If you have any questions about this privacy statement, NABCAP practices, or feel that your privacy has been compromised, please email us at privacy@NABCAP.org.


NABCAP also uses e-mail links located on various pages of the NABCAP Web site to allow you to contact NABCAP and/or its affiliates with questions or comments you may have. NABCAP welcomes these e-mail communications and makes efforts to respond to these communications where appropriate.

E-mail communications and the ideas sent to NABCAP in these e-mail communications become the property of NABCAP. NABCAP uses the e-mail communications to evaluate and improve its services and Web site. NABCAP also may save these e-mail communications for future reference or use.

In an attempt to customize the NABCAP service and provide the investing public, financial advisors, financial institutions and media with the information they may be most interested in, NABCAP conducts internal research on our database's demographics, interests, and behavior based upon information provided directly to NABCAP and information that NABCAP may collect from third party sources. NABCAP may combine or otherwise overlay some or all of the foregoing information to build profiles about the NABCAP database, which may be individual specific or in aggregate form. By contributing to the NABCAP database data contributors consent that NABCAP is employing the foregoing techniques in its continuing efforts to better serve its customers by providing them with the information in which they may be most interested. NABCAP does not use information about its users for any purpose unrelated to the services offered by NABCAP.

As discussed above, NABCAP may, from time to time, obtain information about the investing public and financial advisors from third party sources. Please be aware that this Privacy Policy does not cover the conduct or practices of these third party sources. However, NABCAP will treat information that it receives from third party sources according to the terms of this Privacy Policy.

Privacy Policy for the investing public

What Information is Available?

As part of the NABCAP service, Investors are asked to provide an e-mail address, postal address, phone, and a password. In addition, Investors are asked to respond to several questions that will aid in the review of financial advisors. This information is never revealed to any Financial Advisor or any other party unless first authorized by the Investor first.

Protection of the investing public information

NABCAP undertakes substantial efforts in protecting the confidentiality of the identity, preferences and other information it has collected about individual users and will never knowingly allow access to this information to anyone outside NABCAP other than for the services NABCAP offers. NABCAP has made a substantial investment in its server, database, backup and firewall technologies to protect the information assets of NABCAP, including the confidentiality of information collected about NABCAP files. These technologies are deployed as part of a sophisticated security architecture and protocol.

Investors should also do their part in protecting their information. Unfortunately, neither NABCAP nor data transmission over the Internet can be guaranteed to be 100% secure. As a result, while we strive to protect our database information, NABCAP cannot ensure or warrant the security of our information. Thus, any information a client transmits to us is done so at the client's own risk. Once we receive investor information, NABCAP undertakes substantial efforts to protect the confidentiality of this information consistent with this Policy.

Reviewing or Modifying User Information or Terminating Use

The investing public in the NABCAP database may choose at any time to review, modify or permanently remove all information stored by NABCAP about them. The investing public in the NABCAP database can also send an e-mail to privacy@NABCAP.org to terminate their existence in the NABCAP database. If an investor terminates their existence, the terminated records will no longer receive any communications from NABCAP, unless reinstated. NABCAP will not sell, rent, or otherwise use the information about terminated records.

Privacy Policy for Financial Advisory Practices

As part of the NABCAP service, financial advisors are asked to provide their official advisory practice name, member details, e-mail address, postal address, phone, and password. We request credit card information via a secure process. In addition, Advisors are asked to respond to a number of questions that will aid the investing public review of overall financial advisory practices.  Some of these data fields will be available for Investors to view.

In addition to the information provided by Financial Advisors, NABCAP also collects information about Advisors from multiple third party sources. Because basic information about the Financial Advisors is public domain and gathered from public sources, Financial Advisors' basic information cannot be removed from NABCAP.

NABCAP has a cross-data sharing agreement in place with the Rank Premier Advisors (RPA) to share data about financial advisory practices, supervision data/input, investor data/input, and third party data/input. Financial Advisors agree to allow all the data they contribute to be shared with the RPA's databases of Financial Intermediaries. RPA is registered by the state to provide information as a conduit and/or facilitator.

Financial Advisors can remove data the Financial Advisory Practice previously contributed to NABCAP, but cannot remove data that is public domain or acquired from commercially available sources.

Unsubscribe Policy:

You can choose to unsubscribe from communications at any time. You can unsubscribe from communications by clicking here now: unsubscribe@NABCAP.org. Please allow approximately one week for the removal process to be complete.