Form ADV Part 2A

Form CRS


ADELL, HARRIMAN & CARPENTER, INC. (“AHC”) recognizes our relationship with our clients is based upon integrity and trust.  As a part of that trust, we are committed to keeping your personal information private.

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.

The types of personal information we collect and share is based on the services we provide to you. This information can include social security number, income, transaction history, assets, investment experience, and risk tolerance.

AHC needs to share clients’ personal information to run its everyday business. AHC will share clients’ personal information for our everyday business purposes, such as to process your transactions, maintain your accounts(s),  respond to court orders and legal investigations, and for our marketing purposes to offer our products and services to you. AHC does not have any affiliates and will not share our clients’ personal information for joint marketing with other financial companies or with non-affiliates to market to you.  We collect your personal information, for example, when you enter into an investment advisory contract, seek financial advice, make deposits or withdrawals from your account, tell us about your investment or retirement portfolio, and give us your employment history.

If you are a new client, we can begin sharing your information as soon as your documents are signed. When you are no longer our client, we may continue to share your information as described in this notice.

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

For any questions concerning AHC’s Privacy Notice, please contact Leia Carpenter, AHC’s Chief Compliance Officer, at 713-621-1155.