PRIVACY NOTICE

Third Lake Associates, LLC (“we”) is a broker-dealer registered with the Securities and Exchange Commission and a member of FINRA and SIPC. We are committed to keeping the personal information collected from potential, current and former customers, clients and investors (each, an “investor” and collectively, “investors”) confidential and secure. The proper handling of non-public personal information is one of our highest priorities. We want to be sure that you know why we need to collect personal information from you. We also want to explain to you our commitment to protect the information you provide to us. We do not disclose non-public personal information about our investors or former investors to unaffiliated third parties other than as described below.

Investor Information

We collect information about you (such as your name, address, email address, and as applicable tax identification number, driver’s license and bank account information) from offering and transaction documents, from our discussions with you, from documents and information that you deliver to us or our affiliates, from visiting our website and in the course of providing our products and services. We also obtain information received from third parties in connection with providing our products and services, which also may include our affiliates and if applicable your professional advisors. We also may use this information to evaluate your suitability and eligibility to invest or participate in a particular investment or transaction. If you visit a website hosted or sponsored by us, the website will use “cookies,” which automatically collect certain non-personal information and data. A cookie is an element of data that a website/web server can send to your browser, which may then store it on your system or computer. The data identifies you as a unique user and facilitates your ongoing access to and use of the website. Cookies can also help us diagnose problems with our website/server. We do not use cookies to retrieve personal information about you from your computer. Generally, beforehand or at the time you are on the website, you can set your browser to help you manage your cookies including to accept or reject all cookies or notify you when you receive a cookie, giving you the chance to decide whether to accept it or not. Please note that if you block cookies, your access to the website or certain areas therein may be affected.

SMS Terms of Service

By opting into SMS from a web form or other medium, you are agreeing to receive transactional SMS messages from Third Lake Associates, LLC. This includes SMS messages for scheduling meetings, meeting reminders, and other business-related notifications. Message frequency varies. Message and data rates may apply. Message HELP for help. Reply STOP to any message to opt out. We will not share or sell the investors' consent for SMS messages and phone numbers collected for SMS to any third parties under any circumstances.

Sharing Information

We may provide your non-public personal information as permitted by law to our affiliates and to firms that assist us in providing our products and services and have a need for such information, such as an issuer or its agent. We do not otherwise provide information about you to outside firms, organizations or individuals except to our attorneys, accountants, auditors and as permitted or required by law (including in matters relating to combatting money laundering) or as requested or approved by you. With your approval, we may share information with your advisors, which can include your accountant and/or attorney. In the normal course of our business, we may disclose information we collect about you to regulatory bodies and unaffiliated companies or individuals that contract with us to perform servicing or vendor functions such as:

Record keeping and other administrative services;
Computer related services; and
Good faith disclosure to regulators who have regulatory authority over us.

Companies we hire to provide support services are not authorized to use your personal information for their own purposes and are obligated to maintain confidentiality of such information. We limit their use of your personal information to the performance of the specific service we have requested. We do not provide your personally identifiable information to mailing list vendors or solicitors for any purpose. When we provide personal information to a service provider, we expect these providers to safeguard your information, use the information only for the intended purposes and abide by applicable law.

Access to Information

Among our employees and other insiders, only employees and registered persons with a valid business reason have access to your personal information. These persons are educated on the importance of maintaining the confidentiality and security of this information. They are required to abide by our information handling practices.

Protection of Information

We maintain security standards to protect your information, whether written, spoken or electronic. We update and test our systems to ensure the protection and integrity of information.

Maintaining Accurate Information

Our goal is to maintain accurate, up-to-date investor records in accordance with industry standards. When you or any other investor provides us with updated information, we will endeavor to update our records as soon as possible. We do not, however, have a duty to inquire as to changes in the information you provide to us.

Should you send us your questions and comments via email; we will share your correspondence with those employees, registered persons or agents most capable of addressing your questions and concerns. We will retain your communication until we have attempted to provide you with a complete and satisfactory response. We will archive it according to the requirements under applicable regulatory rules and securities laws. Please note that, unless we expressly advise you otherwise, our email facilities do not provide a means for completely secure and private communications between us and yourself.

Although every attempt will be made to keep your information confidential, from a technical standpoint, there is still a risk. For that reason, please do not use email to communicate information to us that you consider to be confidential. If you wish, you may contact us instead via telephone. Additional security may be available to you.

Disclosure of our Privacy Policy

We recognize and respect the privacy concerns of potential, current and former investors. We are committed to safeguarding this information. As a member of the financial services industry, we are sending you this Privacy Notice for informational purposes and will update and distribute it as required by law. We may update this Privacy Notice without notice. It is also available to you upon request.

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If you have any questions about our Privacy Policy, please contact us at contact@thirdlakeassociates.com or 727-349-9300 because your privacy and the confidentiality of your information are very important to us.