Privacy

Last Reviewed On: April 3, 2023

BroadRiver (as defined below) is committed to protecting your privacy and maintaining the confidentiality and security of your personal information. This BroadRiver Privacy Policy (“Privacy Policy”) explains the types of information we collect through www.broadrivercap.com (“Site”), and through subscription forms, investor questionnaires, account forms and other information that is provided to BroadRiver. This Privacy Policy also explains the manner in which BroadRiver collects, utilizes and maintains nonpublic personal information about its investors (“Investors”), as required under federal law.

“BroadRiver” collectively refers to and each investment account, partnership, limited liability company or fund (individually a “Fund,” and collectively, the “Funds”) for which any of the foregoing serves as general partner, manager, managing member, director, trading manager and/or investment adviser. This Privacy Policy only applies to products and services provided by BroadRiver to individuals (including regarding investments in the Funds) and which are used for personal, family, or household purposes (not business purposes). As BroadRiver’s business evolves, this Privacy Policy may change, so check back to this page periodically to make sure you understand how your Personal Information will be treated.

What Information Is Collected

“Personal Information” is information that can be used to identify you as an individual or allow someone to contact you, as well as information attributed with such information. We collect different categories of Personal Information from different sources, including user-provided information and site usage information.

Investor Information

BroadRiver collects personal information about its Investors from the following sources:

1. Subscription forms, investor questionnaires, account forms, and other information provided by the fund investor in writing, in person, by telephone, electronically or by any other means. This information includes name, address, nationality, employment information, and financial and investment qualifications;
2. Transactions within the funds managed by BroadRiver, including account balances, investments, withdrawals and fees; and
3. Other interactions with BroadRiver (for example, discussions with our staff).

Site Usage Information

As is the case with many Web sites, BroadRiver’s servers may automatically collect your IP address when you visit our Site, and we may associate that with your domain name or that of your Internet access provider. We may also capture certain “clickstream data” pertaining to your Site usage. Clickstream data includes, for example, information about your computer or device, Web browser and operating system and their settings, the referring page that linked you to the Site, the pages, content or ads you see or click on during your visit and when and for how long you do so, items you download, the next Web site you visit when you leave the Site, and any search terms you have entered on the Site or a referral site.

Among other things, this information enables us to generate analytics reports on the usage of our Site. To opt-out of your Site usage being included in our Google Analytics reports, you may follow these
instructions: https://tools.google.com/dlpage/gaoptout

In addition, we may deploy various tracking technologies on the Site to collect additional information about your Site visits. For example:

• Cookies are small data files stored on your computer or device at the request of a Web site. A cookie assigns a unique numerical identifier to your Web browser, and may enable us to recognize you as the same user who was at our Site in the past, and relate your use of the Site to other information about you, such as your Site usage information and Personal Information. Cookies may also be used to enhance your experience on the Site (for example, by storing your username so you can log in easily, keeping you logged into the Site after you have provided your password, and storing the contents of your shopping cart as you browse) or to collect general usage and aggregated statistical information and detect and prevent fraud. Most browsers can be set to detect cookies and give you an opportunity to reject them, but refusing cookies may, in some cases, inhibit or preclude your use of the Site or its features.
• A pixel tag (also known as a “clear GIF” or “web beacon”) is a tiny image – typically just one-pixel – that can be placed on a Web page or in our electronic communications to you in order to help us measure the effectiveness of our content by, for example, counting the number of individuals who visit us online or verifying whether you’ve opened one of our emails or seen one of our Web pages.
  

These tracking technologies may be deployed by us and/or by our service providers or partners on our behalf. These technologies enable us to assign a unique number or identifier to you, and relate your Site Usage Information to other information about you, including your Personal Information. These technologies also enable us to recognize you when you access our Site using different Web browsers and different computers or devices.

How is Your Information Used?

BroadRiver or our service providers may use the Personal Information we collect from and about you to perform the
following business functions:

• enabling users to use our Site and its features
• administering the Site and your account with us, including verifying approved access to the Restricted
  Website
• responding to your requests, questions, and concerns
• market research and better understanding our audience
• developing new features and offerings on the Site
• increasing the functionality and user-friendliness of the Site
• protecting our rights and property
• recovering debt and preventing fraud
• other purposes disclosed when Personal Information is submitted to us

To perform the above functions, we may match information collected from you through different means or at different times, including both Personal Information and Site Usage Information, and use such information along with information obtained from other sources (including third parties) such as demographic information and updated contact information. We or our service providers may also use your information to assess the level of interest in, and use of, the Site, our e-mails and our other messaging campaigns both on an individual basis and in the aggregate.

How is Your Personal Information Shared?

BroadRiver may share nonpublic personal information about its Investors or potential Investors with affiliates, as permitted by law. BroadRiver does not disclose nonpublic personal information about its Investors or potential Investors to nonaffiliated third parties, except as permitted by law (for example, to service providers who provide services to the Investor or the Investor’s account).

BroadRiver may share nonpublic personal information, without an Investor’s consent, with affiliated and nonaffiliated parties in the following situations, among others:

1. To respond to a subpoena or court order, judicial process or regulatory inquiry;
2. In connection with a proposed or actual sale, merger, or transfer of all or a portion of its business;
3. To protect or defend against fraud, unauthorized transactions (such as money laundering), lawsuits,
   claims or other liabilities;
4. To service providers of BroadRiver in connection with the administration and operations of
   BroadRiver, the Funds and other BroadRiver products and services, which may include attorneys,
   accountants, auditors, administrators or other professionals;
5. To assist BroadRiver in connection with a with a corporate change or dissolution, including for example a
   merger, acquisition, reorganization, consolidation, bankruptcy, liquidation, sale of assets or wind down of
   business;
6. To assist BroadRiver in offering BroadRiver affiliated products and services to its Investors; and
7. To process or complete transactions requested by an Investor.

Former Customers and Investors

The same Privacy Policy applies to former Investors.

Data Subject Rights Under European Law

If you are a natural person (a “Data Subject”), you may have certain rights in addition to those described in this Privacy Policy. As a Data Subject, you should use the contact information below to get more information and/or to make a formal request. To the extent applicable, we will endeavor to keep the Personal Information we store about you reasonably accurate and up-to-date by enabling you to correct it by request. However, if you are a Data Subject resident in the European Economic Area, your personal information will be processed in the United States as described herein by BroadRiver and may not offer the same level of protections of personal information as the EU General Data Protection Regulation 2016/679 (“GDPR”). Please be advised that certain aspects of the GDPR may not be consistent with the laws and regulations applicable to BroadRiver. You may have additional rights under other foreign or domestic laws that may apply to you.

Protection of Investor Information

BroadRiver maintains physical, electronic and procedural safeguards that comply with federal standards to protect customer information. BroadRiver restricts access to the personal and account information of Investors to those employees who need to know that information in the course of their job responsibilities. BroadRiver will destroy, erase or make unreadable data, computer files and documents containing nonpublic personal information prior to disposal.

Changes to this Privacy Policy and Further Information

BroadRiver reserves the right to change this Privacy Policy at any time. When we do, we may let you know by posting the changed Privacy Policy on this page with a new “Effective Date.” In some cases (for example, if we significantly expand our use or sharing of your Personal Information), we may also tell you about changes by additional means, such as by sending an e-mail to the e-mail address we have on file for you. In some cases, we may request your consent to the changes.

Contact us

If you have any questions about this Privacy Policy, please contact us at 212 486-0600 and/or email us at ir@broadrivercap.com