Privacy notice
What's collected,
and who sees it.
Short version: the firm collects what it needs to advise you, doesn't sell it, and doesn't share it for anyone else's marketing.
Regulation S-P
This notice describes how Capital B Advisory Services LLC collects, uses, and protects nonpublic personal information.
Information collected
Depending on the services you request, the firm may collect: name, address, phone number, and email; date of birth and Social Security or tax identification number; employment and income information; assets, liabilities, and investment holdings; account numbers and custodial statements; and your investment objectives, time horizon, and risk tolerance.
This comes from you directly, from forms and applications you complete, and from your custodian or other institutions you authorize.
How it's used
Only to deliver the services you've engaged the firm for and to meet legal, regulatory, and recordkeeping obligations. Nothing more.
Sharing
The firm does not sell client information and does not share it with nonaffiliated third parties for their marketing purposes. Information may be shared as needed with:
- Your custodian and executing broker-dealer, to open accounts and place transactions you have authorized.
- Service providers acting on the firm's behalf under confidentiality obligations, such as portfolio, custody, or recordkeeping platforms.
- Regulators, auditors, and law enforcement where required by law, subpoena, or examination.
- Professionals you direct the firm to work with, such as your accountant or attorney.
Safeguards
The firm restricts access to client information to those who need it to provide services, and maintains physical, electronic, and procedural safeguards intended to protect it. No system is perfectly secure, and email in particular should be treated as an insecure channel.
Former clients
If the relationship ends, the firm continues to apply this notice to the information it retains, and retains records for the period required by applicable law.
Your choices
You may request access to the personal information the firm holds about you, ask that inaccurate information be corrected, or ask questions about this notice at any time. Some records must be retained under securities recordkeeping rules and cannot be deleted on request.
Contact
Capital B Advisory Services LLC
21 Lorraine Place, Middletown, NJ 07748
732-639-1440
contact@capital-b-advisory.com
Last updated January 1, 2026. This notice is provided annually to clients and whenever it materially changes.