Privacy Policy
Effective Date: January 1, 2026
Continuity (“Continuity,” “we,” “us,” or “our”) respects privacy and handles information carefully. Our services may involve sensitive advisor, firm, client, account, and operational transition information. This Privacy Policy explains how we collect, use, share, and protect information in connection with our website and services.
1. Introduction
Continuity provides operational transition execution for financial advisors coordinating a move between firms, platforms, custodians, or into independence. Because transition work can involve confidential and sensitive information, we aim to be careful, consistent, and transparent about how information is handled.
2. Scope of This Privacy Policy
This Privacy Policy applies to information collected through:
- GoContinuity.com and related web pages, forms, and content
- Calls, emails, meetings, and other communications with Continuity
- Assessments, transition-readiness workflows, and service engagements
- Partner referrals and introductions (where authorized)
- Operational transition coordination and completion work
This Privacy Policy does not cover third-party websites or services that may be linked from our website. Those third parties have their own privacy practices.
3. Information We Collect
We may collect information in the following categories:
Contact and business information
- Name, email address, phone number
- Firm name, role/title, business address
- Basic scheduling and meeting details
Advisor and firm transition information
- Current firm and intended destination firm/platform/custodian (as provided)
- Target transition timeline and key milestones
- Business size indicators (e.g., household count, operational structure)
- Estimated AUM ranges (if provided)
Client and account-related transition information
During an engagement, we may help organize transition-related operational information such as:
- Household names and contact information (as provided)
- Account titles, account types, and registration details
- Masked account numbers where possible
- Transfer status, paperwork status, and exception tracking notes
- Custodian workflow information and operational process indicators
- ACH/deposit/withdrawal indicators and recurring instruction indicators
- Margin/options indicators and other account-feature indicators
- RMD tracking notes and cost-basis tracking notes
Documents and files
- Statements, forms, checklists, signed/unsigned paperwork
- Spreadsheets, transition trackers, and other uploaded materials
Website and analytics information
- IP address, browser type, device information
- Pages visited, time on page, referring/exit pages
- Form submissions and website interactions
- Cookies and similar technologies (see Section 10)
Communications
- Emails, meeting notes, call summaries, support requests
- Assessment responses and transition readiness inputs
4. How We Use Information
We use information to:
- Evaluate transition readiness and prepare transition assessments
- Organize household and account operational data for transition execution
- Coordinate administrative workflows and assist with paperwork preparation and tracking
- Monitor transfer status, exceptions, and completion-phase items
- Communicate with advisors, authorized team members, and approved partners/service providers
- Improve our services, internal processes, and website performance
- Maintain security controls, records, and documentation related to services
- Respond to legal, regulatory, or contractual obligations
7. Confidentiality and Security
Continuity uses administrative, technical, and organizational safeguards designed to protect information from unauthorized access, use, disclosure, alteration, or destruction. Safeguards may include access controls, limited internal access, secure storage, vendor controls, and data minimization practices.
No method of transmission or storage is completely secure. While we work to protect information, we cannot guarantee absolute security.
8. Data Minimization
We seek to collect and use only the information reasonably needed to perform transition-readiness, coordination, tracking, and completion services.
9. Sensitive Information Handling
During an engagement, Continuity may receive sensitive financial or account-related information. Where practical, we may use masking, limited access, secure storage, and restricted workflows to reduce risk.
Continuity does not request full Social Security numbers, full bank account numbers, passwords, or login credentials, or unnecessary sensitive information unless specifically required for an approved workflow and handled through secure channels.
11. Data Retention
We retain information only as long as reasonably necessary for the purposes described in this Privacy Policy, including providing services, maintaining records, resolving disputes, meeting legal/contractual obligations, and supporting security needs. Retention periods may vary by information type and engagement.
12. Data Deletion and Access Requests
Advisors or authorized parties may request access to, correction of, deletion of, or limitation of certain information. Requests are subject to legal, regulatory, contractual, security, and operational limitations. We may need to verify identity and authority before responding.
13. Vendor and Third-Party Services
Third-party vendors may process information on Continuity’s behalf to provide services such as CRM, secure file storage, e-signature, project management, email delivery, hosting, analytics, and communication tools. Vendors are expected to use information only to provide services to Continuity and in a manner consistent with their contractual obligations.
14. Incident Response
Continuity maintains procedures designed to identify, assess, and respond to potential security incidents. If Continuity determines that notification is required by law, contract, or applicable obligation, we will provide notice as required.
15. Financial Privacy and Regulatory Note
Financial privacy obligations may apply depending on the role of the advisor, firm, custodian, broker-dealer, RIA, or other regulated entity involved in a transition. Continuity’s role is operational support and administrative coordination, and we work to support secure, authorized handling of transition information.
16. No Investment, Legal, Tax, or Compliance Advice
This Privacy Policy does not modify the scope of services Continuity provides. Continuity is not a broker-dealer, custodian, law firm, tax advisor, compliance firm, or investment adviser. Continuity does not provide investment advice, legal advice, tax advice, compliance advice, custody services, or brokerage services.
17. Children’s Privacy
Our website and services are not intended for children or individuals under 18. We do not knowingly collect personal information from children.
18. Changes to This Privacy Policy
We may update this Privacy Policy from time to time. We will post the updated version on this page and update the effective date above.
19. Contact Information
Continuity
Website: https://gocontinuity.com
Email: privacy@gocontinuity.com
Mailing Address: 1521 W. Citation Lane, Chandler, AZ 85224