PRIVACY NOTICE -RHK Capital Privacy Notice – January 2017

RHK Capital, Inc. believes it is essential that we maintain the privacy of the nonpublic personal information that you provide to us and that we obtain in connection with providing our products and services to you. RHK Capital has a standing policy of protecting the confidentiality and security of information we collect about our clients. We will not share non-public information about our clients (“information,” as further described below) with third parties, except for the specific purposes described below. This notice describes the information we may gather and the circumstances under which we may share it.

RHK Capital limits the use, collection, and retention of such information to what we believe is necessary or useful to conduct our business and to provide and offer you quality products and services, as well as other opportunities that may be of interest to you. Information collected may include, but is not limited to name, address, and telephone number, tax identification number, date of birth, employment status, annual income, and net worth. In providing products and services to you, we collect nonpublic personal information about you from the following sources:

Information we receive from you on applications or other forms (e.g. investment/insurance applications, new account forms, and other forms and agreements);

Information about your transactions with us, our affiliates, or others (e.g. broker/dealers, clearing firms, or other chosen investment sponsors); and

Information we receive from consumer reporting agencies (e.g. credit bureaus), as well as other various materials we may use to put forth an appropriate recommendation, or to fill a service request.

Because we must maintain accurate records, RHK Capital has established procedures to maintain the accuracy of your information and to keep such information current and complete. If our clients desire to review any file we may maintain, please contact us. If our clients notify us that any information is incorrect, we will review it and make revisions as appropriate. Information collected in connection with, or in anticipation of, any claim or legal proceeding may not be made available.

RHK Capital places strict limits on who receives specific information about your account(s) and other personally identifiable data. As a rule, we do not disclose nonpublic personal information we collect to others. However, because we rely on certain third parties for services that enable us to provide our advisory services to you, such as our attorneys, auditors, other consultants, brokers, and custodians who, in the ordinary course of providing their services to us, may require access to information, we may share non-public personal information with such third-parties. Additionally, we will share such information where required by legal or judicial process, such as a court order, or otherwise to the extent permitted under the federal privacy laws.

Our employees are required to protect the confidentiality of information and to comply with our established policies. They may access information only when there is an appropriate reason to do so, such as the execution of transactions on behalf of our clients. We also maintain physical, electronic and procedural safeguards to protect information, which comply with Federal standards. Employees who violate our Privacy Policy are subject to internal disciplinary actions and, as appropriate, legal sanctions. When disposed of, any paper document with confidential client information is shredded. Our employees are instructed, continuously reminded and trained to safeguard all confidential client information.

We may also disclose such information to others upon your instructions. You may amend this provision, and/or rescind your request at any time in writing. Your signature below indicates your understanding and acceptance that we may share such information.

We restrict access to nonpublic personal information about you to those employees who need access to such information in order to provide our products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information. If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice. Even if you are no longer a client of RHK Capital and we no longer provide services to you, our Privacy Policy will continue to apply to you.

RHK Capital reserves the right to change these Privacy Principles, and any of the policies or procedures described above, at any time without prior notice. However, you will be promptly provided with a current copy of our Privacy Notice upon material changes or upon request. So long as you remain an active customer, you will receive a current copy of our Privacy Notice at least annually. These Privacy Principles are for general guidance and do not constitute a contract or create legal rights, and do not modify or amend any agreements we have with you. The examples contained within this Privacy Notice are illustrations and they are not intended to be exclusive. This Notice complies with Federal laws and SEC regulations regarding privacy. You may have additional rights under other foreign or domestic laws that may apply to you.

If you have questions about this privacy policy, or if you wish to amend or rescind your written instructions below at any time, please contact Pat Duffy, Chief Compliance Officer, at (203) 341-3500 or