* Fidelity, Pershing, and Schwab are independent companies, unaffiliated with Commonwealth. Fidelity is a service provider to Commonwealth and provides clearing, custody, and other brokerage services to Commonwealth through National Financial Services LLC (NFS), member NYSE, SIPC.
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"}}}}}}},"content":[{"data":{},"marks":[],"value":"Business Continuity Plan","nodeType":"text"}],"nodeType":"entry-hyperlink"},{"data":{},"marks":[],"value":"","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"","nodeType":"text"},{"data":{"target":{"metadata":{"tags":[],"concepts":[]},"sys":{"space":{"sys":{"type":"Link","linkType":"Space","id":"a320zjmb1inn","contentful_id":"a320zjmb1inn"}},"id":"c5cm0g5aemtbpgxBegganet","type":"Entry","createdAt":"2022-07-26T20:18:49.172Z","updatedAt":"2026-06-25T20:40:59.609Z","environment":{"sys":{"id":"master","type":"Link","linkType":"Environment","contentful_id":"master"}},"publishedVersion":215,"revision":10,"contentType":{"sys":{"type":"Link","linkType":"ContentType","id":"page","contentful_id":"page"}},"contentful_id":"5cm0g5aemtbpgxBegganet"},"fields":{"title":{"en-US":"California Consumer Privacy Act Notice"},"slug":{"en-US":"for-clients/disclosure/california-consumer-privacy-act-notice"},"intro":{"en-US":"Last updated: June 2026"},"featuredImageHorizontal":{"en-US":false},"content":{"en-US":{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"This California Consumer Privacy Act Notice (“Notice”) supplements the information contained in the ","nodeType":"text"},{"data":{"uri":"https://www.commonwealth.com/for-clients/disclosure/privacy-policy"},"content":[{"data":{},"marks":[],"value":"Commonwealth Financial Network® Privacy Policy","nodeType":"text"}],"nodeType":"hyperlink"},{"data":{},"marks":[],"value":" and applies to residents of California. This Notice covers the information and our activities subject to the California Consumer Privacy Act, as amended by the California Privacy Rights Act (collectively, “CCPA”). ","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"When we use the term “personal information” in this Notice, we are referring to information that identifies, relates to, describes, is capable of being associated with, or could reasonably be linked, directly or indirectly, with you or your household, such as your real name, alias, postal address, unique personal identifier, online identifier Internet Protocol (IP) address, email address, account name, social security number, driver’s license number, passport number, or other similar identifiers. 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For information about how we use and disclose your financial information subject to those laws, and your rights with respect to your financial information subject to those laws, please see our ","nodeType":"text"},{"data":{"uri":"https://www.commonwealth.com/for-clients/disclosure/privacy-notice"},"content":[{"data":{},"marks":[],"value":"Privacy Notice","nodeType":"text"}],"nodeType":"hyperlink"},{"data":{},"marks":[],"value":". ","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"If you are a job applicant or employee, please see our Notice to Job Applicants or Employee Privacy Policy regarding the collection of personal information that was provided to you.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[{"type":"bold"}],"value":"1. Your Rights and Choices Under the CCPA","nodeType":"text"}],"nodeType":"heading-5"},{"data":{},"content":[{"data":{},"marks":[{"type":"italic"}],"value":"Right to Know","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"You have the right to request that we provide certain information to you about our collection of your personal information. Such information shall cover the 12-month period preceding our receipt of your request. Upon our receipt of your verified request, we will provide you with the following:","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"The categories of personal information we have collected about you","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"The categories of sources from which we have collected your personal information","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"Our business or commercial purpose(s) for collecting or selling your personal information","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"The categories of third parties with whom we have shared your personal information","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"The specific pieces of personal information we have collected about you","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"}],"nodeType":"unordered-list"},{"data":{},"content":[{"data":{},"marks":[],"value":"You have the right to request that we provide certain information to you about our disclosures and sales of your personal information. Such information shall cover the 12-month period preceding our receipt of your request. Upon our receipt of your verified request, we will provide you with the following:","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"The categories of personal information we have collected from you","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"The categories of personal information we have sold about you and the categories of third parties to whom we sold such information, by category or categories of personal information for each category of third parties to whom the personal information was sold","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"The categories of personal information that we disclosed about you for a business purpose","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"}],"nodeType":"unordered-list"},{"data":{},"content":[{"data":{},"marks":[],"value":"\nWe have not, and do not, rent or sell personal information. You may only make a verifiable “Right to Know” request twice within a 12-month period. ","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[{"type":"italic"}],"value":"Right to Delete","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"You have the right at any time to request that we delete your personal information; however, in some cases we cannot delete all or some of your personal information as required or permitted by applicable laws.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[{"type":"italic"}],"value":"Right to Correct","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"You have the right to request that we correct inaccurate personal information we maintain about you. In some cases, however, we may deny requests to correct inaccurate personal information. Alternatively, we may delete such personal information.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[{"type":"italic"}],"value":"Right to Nondiscrimination","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"We will not discriminate against you for exercising your rights under the CCPA, such as by denying you products and services, charging you different rates or prices (including use of discounts or penalties), or suggesting or providing a different level of service or quality of products to you. We may, however, charge a different price or provide a different level or quality of products and services if the price or difference is directly related to the value provided to you by your personal information.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"We may, from time to time, offer you financial incentives, including payments to you as compensation, for collecting or deleting your personal information. We also may offer a different price, rate, level, or quality of goods or services if that price or difference is directly related to the value provided to you by your personal information.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[{"type":"bold"}],"value":"2. Information We Collect","nodeType":"text"}],"nodeType":"heading-5"},{"data":{},"content":[{"data":{},"marks":[],"value":"In the preceding 12 months, we have collected and disclosed to third parties for our business purposes the categories of personal information listed below. For more details about the specific data points we collect, please see the Information We Collect About You section in our Privacy Policy.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"In general, we will retain your personal information for as long as is necessary for the purposes set out in our Privacy Policy and the business purposes set forth in Section 4, or for longer, specifically: ","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"As required under any applicable legal, regulatory, accounting, or reporting requirements;","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"Based on the agreement you have with us; or ","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"To resolve disputes or enforce our agreements.","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"}],"nodeType":"unordered-list"},{"data":{},"content":[{"data":{},"marks":[{"type":"bold"}],"value":"Please note:","nodeType":"text"},{"data":{},"marks":[],"value":" As a broker/dealer and investment adviser subject to securities and insurance laws and regulations, we are required to maintain records for various time periods pursuant to such laws and regulations, and such records include personal information regarding individuals.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{"target":{"metadata":{"tags":[],"concepts":[]},"sys":{"space":{"sys":{"type":"Link","linkType":"Space","id":"a320zjmb1inn","contentful_id":"a320zjmb1inn"}},"id":"c4kKN3k3ChKL195fyJWFx4P","type":"Entry","createdAt":"2022-07-20T19:13:56.891Z","updatedAt":"2025-05-22T20:02:43.637Z","environment":{"sys":{"id":"master","type":"Link","linkType":"Environment","contentful_id":"master"}},"publishedVersion":55,"revision":7,"contentType":{"sys":{"type":"Link","linkType":"ContentType","id":"customRichText","contentful_id":"customRichText"}},"contentful_id":"4kKN3k3ChKL195fyJWFx4P"},"fields":{"title":{"en-US":"CCPA Current Info We Collect Chart"},"content":{"en-US":"| Category of Information | Example |
| Identifiers | Name, address, Internet Protocol (IP) address, email address, job title, device identifiers, account name, or other similar identifiers |
| Personal information categories listed in the California Customer Records statute (Cal. Civ. Code § 1798.80(e)) | Name, postal address, or phone number (Some personal information included in this category may overlap with other categories.) |
| Characteristics of protected classifications under California law | Gender and age |
| Internet or other similar network activity | Browsing history, search history, information on a consumer’s interaction with a website, application, communication (such as email), or advertisement |
| Commercial information | General investing background, investment interests and experience, information about current firm, and approximate assets under advisement |
| Professional or employment-related information | Information about current and past employment |
| Sensitive personal information | Social security number, driver’s license number, financial account numbers, and biometric information (e.g., fingerprints, face and voice data) |
| Inferences drawn from other personal information | Inference drawn from the information above and profiles reflecting preferences and characteristics |
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Our Business Purposes for Collecting Personal Information ","nodeType":"text"}],"nodeType":"heading-5"},{"data":{},"content":[{"data":{},"marks":[],"value":"In general, we collect information and personal information so we can provide our Services, operate our business, and provide information that consumers request from us. 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Sharing Personal Information","nodeType":"text"}],"nodeType":"heading-5"},{"data":{},"content":[{"data":{},"marks":[],"value":"We may disclose your personal information for the business or commercial purposes set forth in this Notice or in our Privacy Policy to the categories of third parties listed below. For more details about our disclosures of personal information, please see the How We Share Your Information section in our Privacy Policy. ","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"Our service providers and subcontractors","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"Our affiliates and subsidiaries","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"Third parties to whom you authorize us to disclose your personal information","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"To comply with a legal requirement, judicial proceeding, court order, or legal process","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"To investigate a possible crime, such as fraud or identity theft","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"In connection with the sale, purchase, merger, reorganization, liquidation, or dissolution of Commonwealth, or steps taken in anticipation of such events (e.g., due diligence in a transaction)","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"When we believe it is necessary to protect the rights, property, or safety of Commonwealth or other persons","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"},{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"As otherwise required or permitted by law, including any contractual obligations of Commonwealth","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"list-item"}],"nodeType":"unordered-list"},{"data":{},"content":[{"data":{},"marks":[],"value":"We do not use or disclose sensitive personal information, except as set forth in our Privacy Policy or this Notice, and as reasonably expected.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[{"type":"bold"}],"value":"6. Making Requests","nodeType":"text"}],"nodeType":"heading-5"},{"data":{},"content":[{"data":{},"marks":[],"value":"To submit a request to exercise your Right to Know, Right to Delete, or Right to Correct rights provided in this Notice, please email ","nodeType":"text"},{"data":{"uri":"mailto:cfnprivacyoffice@commonwealth.com"},"content":[{"data":{},"marks":[],"value":"cfnprivacyoffice@commonwealth.com","nodeType":"text"}],"nodeType":"hyperlink"},{"data":{},"marks":[],"value":" or call us at ","nodeType":"text"},{"data":{},"marks":[],"value":"844.668.9880","nodeType":"text"},{"data":{},"marks":[],"value":". Please be prepared to provide your first and last name, your email address, your phone number, your relationship to Commonwealth, and the type of request. We will evaluate the request and take action where required to do so. ","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"Depending on the nature of your request, we may have to verify your identity when you contact us. 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Bank Deposit Sweep Program Interest Rates as of August 28, 2026.
| Bank Account Balance Range | Interest Rate | APY |
| $0–$24,999 | 0.05% | 0.05% |
| $25,000–$99,999 | 0.15% | 0.15% |
| $100,000–$249,999 | 0.25% | 0.25% |
| $250,000–$499,999 | 0.45% | 0.45% |
| $500,000–$999,999 | 0.75% | 0.75% |
| $1,000,000–$1,999,999 | 1.25% | 1.25% |
| $2,000,000 or more | 1.75% | 1.76% |
Program Bank List as of August 28, 2026.
Please note: A client's state of residence determines their priority list.
| Position | Region 1 | Region 2 | Region 3 | Region 4 |
|---|---|---|---|---|
| MA, ME, NH, RI, VT | CT, NY | AK, CO, HI, ID, KS, MT, NE, NM, NV, OR, UT, WA, WY | CA | |
| 1 | U.S. Bank National Association | American Express National Bank | Goldman Sachs Bank USA | U.S. Bank National Association |
| 2 | American Express National Bank | JPMorgan Chase Bank, National Association | UBS Bank USA | American Express National Bank |
| 3 | UBS Bank USA | UBS Bank USA | Wells Fargo Bank, National Association | UBS Bank USA |
| 4 | State Street Bank and Trust Company | Goldman Sachs Bank USA | U.S. Bank National Association | The Bank of East Asia Ltd. |
| 5 | JPMorgan Chase Bank, National Association | Deutsche Bank Trust Company Americas | JPMorgan Chase Bank, National Association | JPMorgan Chase Bank, National Association |
| 6 | Synchrony Bank | The Huntington National Bank | Deutsche Bank Trust Company Americas | State Street Bank and Trust Company |
| 7 | Deutsche Bank Trust Company Americas | Barclays Bank Delaware | American Express National Bank | Deutsche Bank Trust Company Americas |
| 8 | Barclays Bank Delaware | Synchrony Bank | Synchrony Bank | Manufacturers and Traders Trust Company |
| 9 | The Bank of East Asia Ltd. | Bank of China | Barclays Bank Delaware | Synchrony Bank |
| 10 | State Bank of India | State Bank of India | State Street Bank and Trust Company | Barclays Bank Delaware |
| 11 | The Huntington National Bank | Manufacturers and Traders Trust Company | Manufacturers and Traders Trust Company | Bank of China |
| 12 | Goldman Sachs Bank USA | Bank of Baroda | BMO Bank National Association | PNC Bank, National Association |
| 13 | Bank of China | The Bank of East Asia Ltd. | The Bank of East Asia Ltd. | Bank of Baroda |
| 14 | PNC Bank, National Association | Wells Fargo Bank, National Association | State Bank of India | State Bank of India |
| 15 | Bank of Baroda | State Street Bank and Trust Company | Bank of China | The Huntington National Bank |
| 16 | BMO Bank National Association | PNC Bank, National Association | PNC Bank, National Association | BMO Bank National Association |
| 17 | Wells Fargo Bank, National Association | BMO Bank National Association | The Huntington National Bank | Wells Fargo Bank, National Association |
| 18 | Manufacturers and Traders Trust Company | Citibank, National Association | Bank of Baroda | Citibank, National Association |
| 19 | Citibank, National Association | U.S. Bank National Association | Citibank, National Association | Goldman Sachs Bank USA |
| Excess Bank List | ||||
| 1 | U.S. Bank National Association | U.S. Bank National Association | U.S. Bank National Association | U.S. Bank National Association |
| 2 | Citibank, National Association | Citibank, National Association | Citibank, National Association | Citibank, National Association |
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| Position | Region 5 | Region 6 | Region 7 | Region 8 | Business |
|---|---|---|---|---|---|
| AL, AR, AZ, KY, LA, MO, OK, TN, TX | DC, DE, FL, GA, MD, MS, NC, SC | IA, IL, IN, MI, MN, ND, OH, SD, WI | NJ, PA, VA, WV All Other | ||
| 1 | Synchrony Bank | U.S. Bank National Association | Wells Fargo Bank, National Association | Wells Fargo Bank, National Association | Wells Fargo Bank, National Association |
| 2 | Bank of Baroda | PNC Bank, National Association | The Huntington National Bank | Goldman Sachs Bank USA | JPMorgan Chase Bank, National Association |
| 3 | American Express National Bank | State Bank of India | U.S. Bank National Association | UBS Bank USA | Synchrony Bank |
| 4 | State Street Bank and Trust Company | American Express National Bank | Synchrony Bank | Synchrony Bank | Barclays Bank Delaware |
| 5 | Deutsche Bank Trust Company Americas | JPMorgan Chase Bank, National Association | UBS Bank USA | Deutsche Bank Trust Company Americas | State Bank of India |
| 6 | Goldman Sachs Bank USA | Manufacturers and Traders Trust Company | JPMorgan Chase Bank, National Association | U.S. Bank National Association | PNC Bank, National Association |
| 7 | Wells Fargo Bank, National Association | Synchrony Bank | PNC Bank, National Association | JPMorgan Chase Bank, National Association | Bank of China |
| 8 | UBS Bank USA | UBS Bank USA | Deutsche Bank Trust Company Americas | American Express National Bank | Bank of Baroda |
| 9 | Manufacturers and Traders Trust Company | The Bank of East Asia Ltd. | Goldman Sachs Bank USA | Manufacturers and Traders Trust Company | State Street Bank and Trust Company |
| 10 | State Bank of India | Goldman Sachs Bank USA | Manufacturers and Traders Trust Company | State Bank of India | BMO Bank National Association |
| 11 | JPMorgan Chase Bank, National Association | Deutsche Bank Trust Company Americas | BMO Bank National Association | State Street Bank and Trust Company | The Bank of East Asia Ltd. |
| 12 | The Bank of East Asia Ltd. | Wells Fargo Bank, National Association | Barclays Bank Delaware | The Bank of East Asia Ltd. | Deutsche Bank Trust Company Americas |
| 13 | Barclays Bank Delaware | BMO Bank National Association | American Express National Bank | Bank of China | The Huntington National Bank |
| 14 | The Huntington National Bank | The Huntington National Bank | Bank of Baroda | The Huntington National Bank | Citibank, National Association |
| 15 | Bank of China | State Street Bank and Trust Company | Bank of China | PNC Bank, National Association | U.S. Bank National Association |
| 16 | BMO Bank National Association | Barclays Bank Delaware | The Bank of East Asia Ltd. | Barclays Bank Delaware | |
| 17 | PNC Bank, National Association | Bank of Baroda | State Bank of India | BMO Bank National Association | |
| 18 | Citibank, National Association | Bank of China | State Street Bank and Trust Company | Bank of Baroda | |
| 19 | U.S. Bank National Association | Citibank, National Association | Citibank, National Association | Citibank, National Association | |
| Excess Bank List | |||||
| 1 | U.S. Bank National Association | U.S. Bank National Association | U.S. Bank National Association | U.S. Bank National Association | PNC Bank, National Association |
| 2 | Citibank, National Association | Citibank, National Association | Citibank, National Association | Citibank, National Association | Citibank, National Association |
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Eligible Accounts | Eligible Accounts (Cont.) | Ineligible Accounts |
Committee (not incorporated) | Trust Under Agreement | Money Purchase Keogh (Premiere Select) |
Conservator (estate) | Trust Under Will | Voluntary Money Purchase Keogh (Premiere Select) |
Uniform Gifts to Minors Act | Bank | Profit-Sharing Keogh (Premiere Select) |
Uniform Transfers to Minors Act | Church | Voluntary Profit-Sharing Keogh (Premiere Select) |
Guardian | Corporate | Keogh MP BDA |
Individual | Investment Club | Keogh PS BDA |
Traditional IRA (Premiere Select) | Professional Association |
|
Roth IRA (Premiere Select) | Professional Corporation |
|
Rollover IRA (Premiere Select) | Unincorporated Association |
|
SEP IRA (Premiere Select) | Limited Liability Corporation |
|
SIMPLE IRA (Premiere Select) | Administrator |
|
IRA BDA | Executor |
|
Roth BDA | Partnership |
|
Non-Prototype IRA |
| |
Non-Prototype Retirement Plan |
| |
Sole Proprietorship (not incorporated) |
| |
Joint Community Property |
| |
Joint Tenants in Common |
| |
Joint Tenants in Entirety |
| |
Joint Usufruct |
|
|
Joint with Rights of Survivorship |
|
|
Person Representative |
|
|
Transfer on Death (Individual) |
|
|
Transfer on Death (Joint tenants) |
|
|
Transfer on Death (Joint entity) |
|
|
*Please contact your financial advisor for more information.
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","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"This Policy identifies the ways Commonwealth collects, stores, uses, discloses, and protects the personal information you provide to us when you use our website, located at ","marks":[],"data":{}},{"nodeType":"hyperlink","data":{"uri":"https://www.commonwealth.com/"},"content":[{"nodeType":"text","value":"commonwealth.com","marks":[],"data":{}}]},{"nodeType":"text","value":" (the “Website”), our online services, our mobile applications, our social media pages, and any other product or service that links to this Policy (collectively, our “Services”). If you have entered into a separate agreement with us, that separate agreement shall control, and only those terms within this Policy that do not conflict with such separate agreement shall apply. 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Information We Collect About You","marks":[{"type":"bold"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Information You Provide to Us ","marks":[{"type":"italic"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"We collect personal information that you voluntarily provide to us when you use our Services; for example, you may provide us with your contact information, such as your first name and last name, email address, phone number, location, information about your current firm, your approximate assets under advisement, the content of your communication, or other personal information, when you choose to submit such information to us through email, an online form, or other method (e.g., contacting us through our “Let’s Connect” website feature).","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"We also collect certain personal information from individuals who are exploring a relationship with us or seeking to learn more about Commonwealth. For example, an individual may inquire about becoming an investor, advisor, agent, or employee with Commonwealth. The types of personal information that we collect will depend upon the specific type of relationship you have or seek with us. ","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"If you interact with us on social media, we may collect your social media profile information, your communications with us, and your communications and posts on our social media pages and forums. If you use any of our chat or communication features, we will collect the content of your communications through such features.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Commonwealth Online Services","marks":[{"type":"italic"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"We collect personal information when you use or enroll in Commonwealth’s online services, including our mobile applications or virtual conferencing and meeting tools, such as your name, address, email address, phone number, social security number, and Internet Protocol (IP) address and/or domain, as well as other data you may provide us in connection with your use of our online services, such as information related to a financial product or service, including, but not limited to, investment preferences, demographic information, citizenship information, date of birth, and financial information. This may include your financial account information, account summaries and balances, account performance, and account activity, as well as statements, documents, and reports associated with your account. We may also receive your contact information from a third-party website regarding requests about financial products and services on that website. For Commonwealth clients, we will ask you for contact information to provide you with secure online account access. We may collect and maintain information about your account, online account activity, online services, products requested, and usage of our Website and Services. If you use messaging functions through our mobile application, we collect the content of any message that you send through the mobile application. Communications among users that occur outside our mobile application and Services are not governed by this Policy.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Users of Commonwealth’s online services may also provide us information about their professional advisors, such as their accountant, tax advisor, or attorney, and information about family members and other third parties, such as spouses, children, and beneficiaries.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Account Linking and Data Aggregation Services","marks":[{"type":"italic"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Commonwealth’s online services may provide access to account linking and data aggregation services through Yodlee. Such services through Yodlee will not be governed by this Policy. By using Yodlee’s services, you expressly agree to Yodlee’s Terms of Use (currently located at ","marks":[],"data":{}},{"nodeType":"hyperlink","data":{"uri":"https://solutions.yodlee.com/fastlink-terms.html"},"content":[{"nodeType":"text","value":"solutions.yodlee.com/fastlink-terms","marks":[],"data":{}}]},{"nodeType":"text","value":") and the terms of Yodlee’s Privacy Notice (currently located at ","marks":[],"data":{}},{"nodeType":"hyperlink","data":{"uri":"https://www.yodlee.com/legal/privacy-notice"},"content":[{"nodeType":"text","value":"yodlee.com/legal/privacy-notice","marks":[],"data":{}}]},{"nodeType":"text","value":"). Further, by agreeing to such terms, you are providing your account credentials to Yodlee and expressly grant Yodlee a limited power of attorney to access third-party sites designated by you (using your account credentials), retrieve your data from such sites, provide your data to the application provider (Advisor360°), and use your data only as described in their terms. You may choose to share such data with your Representative. You can stop sharing your data with such third-party sites designated by you at any time by unlinking your account.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Please note that Yodlee is an independent third party. Commonwealth has no control over Yodlee’s use of your data. Commonwealth is not responsible for or able to control the security, confidentiality, or privacy of Yodlee. If you do not agree to Yodlee’s use of your data, do not use Yodlee’s services.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Information We Automatically Collect","marks":[{"type":"italic"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"When you use our Services, we automatically receive and collect information from your device. This information includes the following:","marks":[],"data":{}}]},{"nodeType":"unordered-list","data":{},"content":[{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Information about your device, such as the operating system, hardware, system version, IP address, and unique device identifiers (such as advertising IDs or device-specific tokens)","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"The specific actions you take when you use our Services, including, but not limited to, the pages and screens you view or visit, search terms you enter, and how you interact with our Services","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"The time, frequency, connection type, and duration of your use of our Services","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Information regarding your interaction with email messages; for example, whether you opened, clicked, or forwarded the email message","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Identifiers associated with cookies or other technologies that may uniquely identify your device or browser (as further described below)","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Pages you visited before or after navigating to our Services","marks":[],"data":{}}]}]}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Employment","marks":[{"type":"italic"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"If we have collected your personal information through our “Careers” page in response to a job opening, you are giving us permission to use and retain your information for the purpose of evaluating your application for employment for the specific position you applied to, as well as other roles at Commonwealth. This personal information may be processed and stored by a third-party talent tracking solution provider as well as with vendors, consultants, and other service providers who need access to such information to carry out work relating to the recruitment process on our behalf.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Aggregate Information Collected","marks":[{"type":"italic"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Aggregate information is information that does not identify you. It may be collected when you use our Services, independent of any information you voluntarily enter. In addition, we may use one or more processes to de-identify information that contains personal information, such that only aggregate information remains. We may collect, use, store, and transfer aggregate information without restriction for purposes including, but not limited to, trend analysis, improving our services, and conducting research.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"3. Use and Sharing of Your Personal Information","marks":[{"type":"bold"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"How We Use Your Information","marks":[{"type":"italic"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"In general, we collect information and personal information from you so we can provide our Services, operate our business, and provide information you request from us. This includes, but is not limited to, the following: ","marks":[],"data":{}}]},{"nodeType":"unordered-list","data":{},"content":[{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Provide information, products, or services you request","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Verify your identity when accessing our Services","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Compare information for accuracy and verify our records","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Detect and prevent fraud, security or technical issues, or criminal activities","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Evaluate you for an employment position with us (if you apply)","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Operate, improve, maintain, and protect our Services","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Provide technical and other support","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Send updates, marketing communications, and other information about Commonwealth, Representatives, and Services","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Send you notices and alerts","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Facilitate your subscription to our blog","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Conduct research and analytics, monitoring and analyzing trends and usage","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Contact you and respond to your inquiries","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Send you email newsletters","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Register you for an account in our online services","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Enhance or improve user experience, our business, and our Services, including the safety and security thereof","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Personalize our Services to you ","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"As necessary to comply with any applicable law, regulation, subpoena, legal process, or governmental request","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Enforce contracts, our Terms of Service, and User Agreement(s), including investigation of potential violations thereof","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Protect against harm to the rights, property, or safety of Commonwealth, our users, or the public as required or permitted by law","marks":[],"data":{}}]}]}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"How We Share Your Information","marks":[{"type":"italic"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"We do not rent or sell your personal information.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"We may share some of your personal information with third parties that perform services for us. We may also transfer your personal information to third parties under the following circumstances: ","marks":[],"data":{}}]},{"nodeType":"ordered-list","data":{},"content":[{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"To comply with a legal requirement, law, subpoena, judicial proceeding, court order, governmental request, or legal process","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"To investigate a possible crime, such as fraud or identity theft","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"In connection with the sale, purchase, merger, asset sale, financing, reorganization, liquidation, or dissolution of Commonwealth, including the evaluation thereof","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"When we believe it is necessary to protect the rights, property, or safety of Commonwealth or other persons","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"As otherwise required or permitted by law, including any contractual obligations of Commonwealth","marks":[],"data":{}}]}]}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Except as provided in this Policy, we share your personal information at your direction or when we have your consent to do so. If, for example, you connect our Services to third-party software or services, such as your accounting or tax software provider, we will share your information with such provider.If you use our online services, your Representative may have access to your online services account information.","marks":[],"data":{}}]},{"nodeType":"heading-5","data":{},"content":[{"nodeType":"text","value":"4. Storage and Protection of Your Personal Information","marks":[{"type":"bold"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"To protect the privacy and security of personal information, we use reasonable administrative, technical, physical, and operational safeguards. Given the open nature of the internet, however, your personal information may be transmitted without security measures over networks connecting you to Commonwealth’s systems and may be accessed and used by parties other than those for whom the data is intended. To safeguard against unauthorized access, Commonwealth employs secure network architectures, such as encryption techniques, firewall barriers, authentication protocols, and intrusion detection. Despite these safeguards and our additional efforts to secure your personal information, we cannot promise or guarantee that hackers, cybercriminals, or other unauthorized third parties will not be able to defeat security measures and improperly collect, access, steal, or modify your personal information.","marks":[],"data":{}}]},{"nodeType":"heading-5","data":{},"content":[{"nodeType":"text","value":"5. Cookies and Analytics","marks":[{"type":"bold"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Cookies are small text files placed on your device by your web browser when you visit a website. Websites use cookies and similar technologies to support site functionality, enhance user experience, remember preferences, help protect against security threats, and understand how visitors use the site. Commonwealth uses cookies and similar technologies to operate, secure, and improve the Website. We may also use these technologies to remember your preferences and gather analytics about Website usage. You can manage your cookie preferences through our cookie settings tool or by adjusting your browser settings. Please note that disabling certain cookies may affect the functionality of our Website, and some features may not be available. Although we do our best to honor users’ privacy choices, our Website does not currently respond to browser-based “Do Not Track” signals.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Our Website uses certain analytics tools, such as Google Analytics, Salesforce Marketing Cloud Account Engagement, and VWO, to provide insight into our Website and to improve the relevance of advertisements you receive. You may be able to opt out of these analytics tools by visiting the applicable website. If you would like to opt out of Google Analytics, for example, please visit ","marks":[],"data":{}},{"nodeType":"hyperlink","data":{"uri":"https://tools.google.com/dlpage/gaoptout"},"content":[{"nodeType":"text","value":"tools.google.com/dlpage/gaoptout","marks":[],"data":{}}]},{"nodeType":"text","value":".","marks":[],"data":{}}]},{"nodeType":"heading-5","data":{},"content":[{"nodeType":"text","value":"6. Third-Party Websites and Social Media","marks":[{"type":"bold"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"The Services may contain hyperlinks to websites operated by third parties, which may include social media features, such as Facebook, LinkedIn, YouTube, Instagram, and X buttons or links. We provide such hyperlinks for your reference and convenience only. We do not control such websites and are not responsible for their content or the privacy or other practices of such websites. It is up to you to read and fully understand their privacy policies. Our inclusion of hyperlinks to such websites does not imply any endorsement of the material on such websites or any association with their operators. If you are submitting information to any such third party through our Services, you should review and understand that party’s applicable policies, including their privacy policies, before providing your information to the third party.","marks":[],"data":{}}]},{"nodeType":"heading-5","data":{},"content":[{"nodeType":"text","value":"7. California Residents","marks":[{"type":"bold"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Under the California Consumer Privacy Act (“CCPA”), California residents have certain rights regarding their personal information. Please see our ","marks":[],"data":{}},{"nodeType":"hyperlink","data":{"uri":"https://www.commonwealth.com/for-clients/disclosure/california-consumer-privacy-act-notice"},"content":[{"nodeType":"text","value":"California Consumer Privacy Act Notice","marks":[],"data":{}}]},{"nodeType":"text","value":" for further information.","marks":[],"data":{}}]},{"nodeType":"heading-5","data":{},"content":[{"nodeType":"text","value":"8. Children’s Privacy","marks":[{"type":"bold"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Our Services are not intended for use by children younger than 13, and we do not knowingly collect personal information from children younger than 13.","marks":[],"data":{}}]},{"nodeType":"heading-5","data":{},"content":[{"nodeType":"text","value":"9. Updating and Correcting Your Personal Information; Opt Out","marks":[{"type":"bold"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"If your personal information or account information is incomplete, inaccurate, or outdated, please contact your Representative (if applicable) or Commonwealth at ","marks":[],"data":{}},{"nodeType":"text","value":"844.668.9880","marks":[],"data":{}},{"nodeType":"text","value":".","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"If you no longer wish to receive our marketing and promotional communications, you may opt out by following the instructions included in each communication.","marks":[],"data":{}}]},{"nodeType":"heading-5","data":{},"content":[{"nodeType":"text","value":"10. Questions About Your Privacy","marks":[{"type":"bold"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Please email ","marks":[],"data":{}},{"nodeType":"hyperlink","data":{"uri":"mailto:cfnprivacyoffice@commonwealth.com?subject=Questions%20About%20Your%20Privacy"},"content":[{"nodeType":"text","value":"cfnprivacyoffice@commonwealth.com","marks":[],"data":{}}]},{"nodeType":"text","value":" if you have questions or concerns regarding our use of your personal information or this Policy.","marks":[],"data":{}}]},{"nodeType":"heading-5","data":{},"content":[{"nodeType":"text","value":"11. Updates to This Privacy Policy","marks":[{"type":"bold"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"This Policy is subject to change without notice and should be reviewed each time you use our Services. You should also check the date of this Policy to see whether changes have been made since the previous version. Changes to this Policy take effect when the revised Policy is posted. 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","marks":[],"data":{}}]},{"nodeType":"unordered-list","data":{},"content":[{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"A ","marks":[],"data":{}},{"nodeType":"text","value":"testimonial","marks":[{"type":"bold"}],"data":{}},{"nodeType":"text","value":" is defined as any statement by a current client about the client’s experience with the advisor or their supervised persons (i.e., staff).","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"An ","marks":[],"data":{}},{"nodeType":"text","value":"endorsement","marks":[{"type":"bold"}],"data":{}},{"nodeType":"text","value":" is defined as any statement by a person other than a current client that indicates approval, support, or recommendation of the advisor or their supervised persons (i.e., staff) or describes that person’s experience with the advisor or their supervised persons.","marks":[],"data":{}}]}]}]},{"nodeType":"heading-2","data":{},"content":[{"nodeType":"text","value":"Instructions","marks":[{"type":"bold"}],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"If you are providing a testimonial or endorsement (e.g., in the form of a referral) for an advisor in response to a request from them to do so, you are required to disclose the following information ","marks":[],"data":{}},{"nodeType":"text","value":"clearly and prominently* ","marks":[{"type":"italic"}],"data":{}},{"nodeType":"text","value":"at the time you provide the referral:","marks":[],"data":{}}]},{"nodeType":"unordered-list","data":{},"content":[{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Whether you are a current client of the advisor","marks":[],"data":{}}]}]},{"nodeType":"list-item","data":{},"content":[{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Description of any material conflicts of interest you may have in promoting the advisor resulting from your relationship with them","marks":[],"data":{}}]}]}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Please note:","marks":[{"type":"bold"}],"data":{}},{"nodeType":"text","value":" Commonwealth advisors are ","marks":[],"data":{}},{"nodeType":"text","value":"prohibited","marks":[{"type":"italic"}],"data":{}},{"nodeType":"text","value":" from providing any compensation to an individual or entity to provide a testimonial or endorsement without an approved Commonwealth Alliance Program (CAP) or financial institution networking agreement. 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","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Please contact Compliance with any questions at x9603 or at ","marks":[],"data":{}},{"nodeType":"hyperlink","data":{"uri":"mailto:compliance@commonwealth.com"},"content":[{"nodeType":"text","value":"compliance@commonwealth.com","marks":[],"data":{}}]},{"nodeType":"text","value":".","marks":[],"data":{}}]},{"nodeType":"embedded-entry-block","data":{"target":{"metadata":{"tags":[],"concepts":[]},"sys":{"space":{"sys":{"type":"Link","linkType":"Space","id":"a320zjmb1inn","contentful_id":"a320zjmb1inn"}},"id":"c3gwLzzI4ZoA0lpe6QDYlxK","type":"Entry","createdAt":"2022-11-03T18:02:21.216Z","updatedAt":"2022-11-03T18:15:01.298Z","environment":{"sys":{"id":"master","type":"Link","linkType":"Environment","contentful_id":"master"}},"publishedVersion":9,"revision":2,"contentType":{"sys":{"type":"Link","linkType":"ContentType","id":"customRichText","contentful_id":"customRichText"}},"contentful_id":"3gwLzzI4ZoA0lpe6QDYlxK"},"fields":{"title":{"en-US":"SEC-PromoterDisclosure-crtf"},"content":{"en-US":"* Disclosures must be provided clearly and prominently at the time the promotion is made. 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Some Core Partners assist our financial advisors in becoming more knowledgeable about their funds through marketing activities and by offering educational programs including, but not limited to, direct access to Commonwealth’s senior leadership, research, and product support staff; invitations to Commonwealth-sponsored meetings and events, which include direct access to financial advisors; ability to post product marketing and educational materials to Commonwealth’s internal web portal used by financial advisors; access to Commonwealth’s proprietary investment models, research, and analysis; and contact information for financial advisors.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"In return for our assistance in facilitating the activities described above, Commonwealth receives payments, called revenue sharing, from Core Partners. These revenue-sharing payments are in addition to commissions, annual service fees (known as 12b–1 fees), and other fees and expenses disclosed in the fee table in a fund’s prospectus. The revenue-sharing payments, however, are paid out of the investment advisor’s or other fund affiliate’s assets—not from the fund’s assets—and therefore would not appear as an item in a fund’s expense table. No portion of the revenue-sharing payments to Commonwealth is made by means of brokerage commissions generated by the purchase of any specific investment.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"None of the revenue-sharing payments received by Commonwealth is paid or directed to any of our financial advisors who sell to or purchase funds for their clients. Further, our financial advisors do not receive additional direct compensation in connection with transactions in shares of those funds when revenue-sharing payments are made to Commonwealth. In some instances, financial advisors receive reduced or waived transaction costs on products offered by core sponsors. The marketing and educational activities paid for with revenue sharing allow a financial advisor to become familiar with a fund or fund family (e.g., through educational meetings and access to marketing materials). This creates a conflict of interest because your advisor is more likely to recommend or promote the products of Core Partners that make such payments to Commonwealth over those product sponsors that do not.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Commonwealth’s receipt of these payments from Core Partners creates a conflict of interest for Commonwealth because Commonwealth has a greater incentive to make available, recommend, or make investment decisions regarding investments for your account that provide additional compensation to Commonwealth over other investments that do not provide additional compensation to Commonwealth.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"However, while Commonwealth maintains a “recommended” list for its financial advisors that provides Commonwealth’s recommendations with respect to specific funds and share classes, the list is not based on participation in revenue-sharing arrangements. In determining which funds are included on the recommended list, Commonwealth’s Investment Management and Research team uses independent, quantitative, and qualitative criteria in its selection process, without regard to whether a Core Partner has made or makes additional compensation payments to Commonwealth. Because many of the funds and share classes included on Commonwealth’s recommended list are among the largest and most widely used funds in the industry, it is not uncommon for Commonwealth to receive additional compensation from the sponsors of these funds and share classes. Under no circumstances are funds and share classes considered for inclusion on Commonwealth’s recommended list because of, or in any way in relationship to, the additional compensation Commonwealth receives from Core Partners.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"The following fund families or their affiliates participate in this revenue-sharing program:","marks":[],"data":{}}]},{"nodeType":"embedded-entry-block","data":{"target":{"metadata":{"tags":[],"concepts":[]},"sys":{"space":{"sys":{"type":"Link","linkType":"Space","id":"a320zjmb1inn","contentful_id":"a320zjmb1inn"}},"id":"c6AkSRO17PFT5tHPNyq6x1G","type":"Entry","createdAt":"2020-08-05T15:30:38.035Z","updatedAt":"2026-03-12T20:06:37.377Z","environment":{"sys":{"id":"master","type":"Link","linkType":"Environment","contentful_id":"master"}},"publishedVersion":164,"revision":31,"contentType":{"sys":{"type":"Link","linkType":"ContentType","id":"customRichText","contentful_id":"customRichText"}},"contentful_id":"6AkSRO17PFT5tHPNyq6x1G"},"fields":{"title":{"en-US":"Fund families"},"content":{"en-US":"AEW American Funds BlackRock BrandywineGlobal Calvert Capital Group ClearBridge Columbia Delaware Funds/Nomura Eaton Vance Federated Hermes Fidelity Advisor First Eagle First Trust Advisors Franklin Funds | Franklin Templeton Gateway Goldman Sachs Hartford Funds iShares John Hancock/Manulife J.P. Morgan K2 Loomis Sayles Lord Abbett MainStay MFS Morgan Stanley Mirova Natixis | NYLife Parametric PGIM Investments PIMCO Putnam Royce Funds Templeton Funds Thornburg Transamerica Vaughan Nelson Virtus Funds/Virtus Investment Partners WCM Western Asset |
"},"styling":{"en-US":["Tables - No vertical borders"]}}}},"content":[]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"Commonwealth’s revenue-sharing arrangements, including the amounts paid by the Core Partners listed above, vary and are a substantial financial benefit to Commonwealth. Generally, Commonwealth and Core Partners determine the amount of revenue-sharing payments in advance. Payments are made quarterly during or after the period covered by the arrangement. Some Core Partners make additional payments to Commonwealth for attendance at various educational meetings hosted by Commonwealth throughout the year. Except for the arrangement with Capital Client Group, Inc., formerly known as American Funds Distributors, the revenue-sharing payments are fixed and not based on assets under management or sales that occur during the period covered by the revenue-sharing arrangements.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"The arrangement with Capital Client Group provides that the receipt of revenue-sharing payments will be based upon a number of factors set forth in American Funds’ prospectuses and statements of additional information (“SAIs”), including an assessment of the quality of the relationship with Commonwealth during the period covered by the arrangement. The arrangement with Capital Client Group provides that Commonwealth will receive 2 basis points (0.02 percent) on Commonwealth client assets invested in Capital Client Group’s mutual funds. The level of payments during any given year will vary depending on the amount of Commonwealth client assets invested in mutual funds from Capital Client Group. Assets invested in retirement or qualified investment advisory accounts play no role in determining the amount of payments made by Capital Client Group.","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"See the Revenue Sharing from Commonwealth’s Clearing Firm section below for information on the various revenue-sharing arrangements and benefits Commonwealth receives from National Financial Services LLC (“NFS”) on the sale of mutual funds through the NFS platform.","marks":[],"data":{}}]}]}}}}},"content":[]},{"nodeType":"embedded-entry-block","data":{"target":{"metadata":{"tags":[],"concepts":[]},"sys":{"space":{"sys":{"type":"Link","linkType":"Space","id":"a320zjmb1inn","contentful_id":"a320zjmb1inn"}},"id":"c45cTHwOfzdbJyAzTcYpnRe","type":"Entry","createdAt":"2025-03-27T14:49:52.468Z","updatedAt":"2025-03-27T14:49:52.468Z","environment":{"sys":{"id":"master","type":"Link","linkType":"Environment","contentful_id":"master"}},"publishedVersion":8,"revision":1,"contentType":{"sys":{"type":"Link","linkType":"ContentType","id":"expandCollapse","contentful_id":"expandCollapse"}},"contentful_id":"45cTHwOfzdbJyAzTcYpnRe"},"fields":{"title":{"en-US":"RevSharing-EC-2_Insurance Programs"},"collapsed":{"en-US":{"nodeType":"document","data":{},"content":[{"nodeType":"heading-3","data":{},"content":[{"nodeType":"text","value":"Insurance Programs","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"","marks":[],"data":{}}]}]}},"content":{"en-US":{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"Commonwealth also offers various insurance products, including fixed, fixed index, registered index-linked annuities (“RILAs”) and variable, variable universal life (“VUL”), and universal life (“UL”) insurance products. Some of the insurance company sponsors of insurance products we offer engage in activities that are designed to help facilitate and encourage the distribution of their products; some of these sponsors assist our financial advisors/insurance agents in becoming more knowledgeable about their products by engaging in marketing activities and offering educational programs (including, but not limited to, attendance by sponsor representatives at Commonwealth conferences and events, one-on-one marketing, and due diligence presentations).","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"In return for assistance in facilitating the activities described above, Commonwealth receives additional compensation, called revenue sharing, from certain insurance company sponsors. These revenue-sharing payments are in addition to commissions and other fees and expenses disclosed in the insurance product’s prospectus, SAI, and/or policy. These revenue-sharing payments, however, are paid out of the sponsor’s assets—not from the insurance product’s assets—and therefore would not appear as an item in a product’s expense table. No portion of these revenue-sharing payments to Commonwealth is made by means of commissions generated by the insurance product.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"Commonwealth does not maintain a “recommended” list of insurance products.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"None of the revenue-sharing payments received by Commonwealth is paid or directed to any of our financial advisors/insurance agents who sell the insurance products to their clients, and our financial advisors/insurance agents do not receive additional compensation for sales of insurance products whose sponsors make revenue-sharing payments to Commonwealth. However, the marketing and educational activities paid for with revenue sharing allow a financial advisor to become familiar with the sponsor’s insurance products (e.g., through educational meetings and access to marketing materials). This creates a conflict of interest because your financial advisor is more likely to recommend or promote the products of product sponsors that make such payments to Commonwealth over those product sponsors that do not.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"The arrangements with each insurance sponsor vary. Each fixed, fixed index, and variable insurance product sponsor pays Commonwealth a fixed annual fee. These payments are a substantial financial benefit to Commonwealth. The amount of the fixed annual fee is determined by Commonwealth and the insurance sponsor in advance and is paid quarterly during the period covered by the arrangement. Revenue-sharing payments are not based on sales that occur during the period covered by the revenue-sharing arrangements with insurance sponsors. Some participating insurance sponsors make additional payments to Commonwealth for attendance at various educational meetings hosted by Commonwealth throughout the year.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"The following fixed, fixed index","nodeType":"text"},{"data":{},"marks":[{"type":"underline"}],"value":",","nodeType":"text"},{"data":{},"marks":[],"value":" variable, and RILA insurance sponsors, or their affiliates or distributors","nodeType":"text"},{"data":{},"marks":[{"type":"underline"}],"value":",","nodeType":"text"},{"data":{},"marks":[],"value":" participate in this revenue-sharing program:","nodeType":"text"}],"nodeType":"paragraph"},{"data":{"target":{"metadata":{"tags":[],"concepts":[]},"sys":{"space":{"sys":{"type":"Link","linkType":"Space","id":"a320zjmb1inn","contentful_id":"a320zjmb1inn"}},"id":"c5yK0jO0a0xxesq6t1DEknN","type":"Entry","createdAt":"2020-08-05T15:33:48.056Z","updatedAt":"2025-03-19T18:22:25.212Z","environment":{"sys":{"id":"master","type":"Link","linkType":"Environment","contentful_id":"master"}},"publishedVersion":76,"revision":14,"contentType":{"sys":{"type":"Link","linkType":"ContentType","id":"customRichText","contentful_id":"customRichText"}},"contentful_id":"5yK0jO0a0xxesq6t1DEknN"},"fields":{"title":{"en-US":"Insurance Sponsors"},"content":{"en-US":"
Allianz Life American General Athene Brighthouse Securities Corebridge Delaware Life Equitable Financial Forethought Global Atlantic Jackson National Life | Lincoln Financial Nationwide Pacific Life Prudential Sammons Retirement Solutions Securian Financial Symetra Transamerica TruStage (formerly CUNA Mutual Group) US Life |
"}}}},"content":[],"nodeType":"embedded-entry-block"},{"data":{},"content":[{"data":{},"marks":[],"value":"Each VUL and UL insurance sponsor directly or indirectly pays Commonwealth up to 25 percent of target VUL and UL premiums. These payments are a substantial financial benefit to Commonwealth. Some participating insurance sponsors make additional payments to Commonwealth for attendance at various educational meetings hosted by Commonwealth throughout the year.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"Pacific Life participates in the UL/VUL revenue-sharing program.","nodeType":"text"}],"nodeType":"paragraph"}],"nodeType":"document"}}}}},"content":[]},{"nodeType":"embedded-entry-block","data":{"target":{"metadata":{"tags":[],"concepts":[]},"sys":{"space":{"sys":{"type":"Link","linkType":"Space","id":"a320zjmb1inn","contentful_id":"a320zjmb1inn"}},"id":"YaKg61NGgKdErfL31KXEf","type":"Entry","createdAt":"2025-03-27T14:50:01.369Z","updatedAt":"2025-03-27T14:50:01.369Z","environment":{"sys":{"id":"master","type":"Link","linkType":"Environment","contentful_id":"master"}},"publishedVersion":9,"revision":1,"contentType":{"sys":{"type":"Link","linkType":"ContentType","id":"expandCollapse","contentful_id":"expandCollapse"}},"contentful_id":"YaKg61NGgKdErfL31KXEf"},"fields":{"title":{"en-US":"RevSharing-EC-3_Nonpublicly Traded Products"},"collapsed":{"en-US":{"nodeType":"document","data":{},"content":[{"nodeType":"heading-3","data":{},"content":[{"nodeType":"text","value":"Nonpublicly Traded Products","marks":[],"data":{}}]},{"nodeType":"paragraph","data":{},"content":[{"nodeType":"text","value":"","marks":[],"data":{}}]}]}},"content":{"en-US":{"data":{},"content":[{"data":{},"content":[{"data":{},"marks":[],"value":"Commonwealth, through its financial advisors, also offers several nonpublicly traded products, including nonlisted real estate investment trusts (“REITs”), limited partnerships (“LPs”), business development companies (“BDCs”), closed-end funds, interval funds, tender funds, 1031 exchange programs, hedge funds and fund of funds, feeder funds, managed futures, tax credit programs, oil and gas programs, venture capital funds, and private equity funds. Some of the issuers and product sponsors of the nonpublicly traded products we offer (together “product sponsors”) engage in activities that are designed to encourage the distribution of their products; some of these product sponsors assist our financial advisors in becoming more knowledgeable about their products by engaging in marketing activities and offering educational programs (including, but not limited to, attendance by product sponsor representatives at Commonwealth conferences and events, one-on-one marketing, and due diligence presentations). Consistent with prudent product approval practices, Commonwealth conducts or causes to be conducted a due diligence analysis of these products prior to making them available to the public through its financial advisors.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"In return for assistance in facilitating the activities described above, Commonwealth receives due diligence fees, distribution allowances, marketing fees, shareholder servicing fees, revenue sharing, and other compensation (collectively “Additional Compensation”) directly or indirectly from certain product sponsors.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"Additional Compensation payments are in addition to commissions and other fees and expenses disclosed in the product’s private placement memorandum and other offering documents. Although the arrangements with each product sponsor vary, each product sponsor pays Additional Compensation of either a) up to 70 basis points (0.70 percent) annually on assets with the sponsor; or b) up to 200 basis points (2 percent) on the gross amount of each sale, depending on the product. This Additional Compensation is a substantial financial benefit to Commonwealth. Some of the participating product sponsors also make additional payments to Commonwealth for attendance at various educational meetings hosted by Commonwealth throughout the year.","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"None of these additional payments, however, are paid or directed to any financial advisor who sells these products. Commonwealth’s financial advisors do not receive a greater or lesser commission for sales of these products from which Commonwealth receives Additional Compensation. However, the marketing and educational activities paid by the product sponsors allow a financial advisor to become familiar with the sponsor’s products and services (e.g., through educational meetings and access to marketing materials). This creates a conflict of interest because your advisor is more likely to recommend or promote the products of product sponsors that make such payments to Commonwealth over those product sponsors that do not. ","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"The following product sponsors pay Commonwealth Additional Compensation:","nodeType":"text"}],"nodeType":"paragraph"},{"data":{"target":{"metadata":{"tags":[],"concepts":[]},"sys":{"space":{"sys":{"type":"Link","linkType":"Space","id":"a320zjmb1inn","contentful_id":"a320zjmb1inn"}},"id":"c37MxMwKI9xNt0QarDnhVQg","type":"Entry","createdAt":"2021-03-08T18:15:02.969Z","updatedAt":"2026-03-12T20:06:15.903Z","environment":{"sys":{"id":"master","type":"Link","linkType":"Environment","contentful_id":"master"}},"publishedVersion":132,"revision":18,"contentType":{"sys":{"type":"Link","linkType":"ContentType","id":"customRichText","contentful_id":"customRichText"}},"contentful_id":"37MxMwKI9xNt0QarDnhVQg"},"fields":{"title":{"en-US":"RevenueSharing-NonTraded-Table"},"content":{"en-US":"
Alkeon Altegris AMG Pantheon Apollo/Griffin Capital AQR Ares Wealth Management Solutions Blackrock Blackstone Blue Owl Brookfield Brookwood Capital Group Carlyle/Alpvest Central Park Group | Clarion Partners/Franklin Templeton Cliffwater Dearborn Capital Eaton Vance Fidelity First Trust Goldman Sachs Goodnow Graham Hamilton Lane HarbourVest Hines iCapital Inland | KKR LaSalle Investment Management LoCorr Lord Abbett Mewbourne Energy Next Play Capital Nuveen Partners Group PIMCO Resource America Steben StepStone T. Rowe Price Voya Pomona |
Capital Group Human Interest Invesco JP Morgan Lord Abbett | PIMCO Principal T. Rowe Price Vestwell |
*Fidelity Investments and National Financial Services LLC, together “Fidelity”, is an independent company, unaffiliated with Commonwealth. Fidelity provides clearing, custody, or other brokerage services through National Financial Services LLC, Members NYSE, SIPC.
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Some DAF Administrators engage in activities that are designed to help encourage the distribution of their affiliated DAF; some assist our financial advisors in becoming more knowledgeable about their DAF by engaging in marketing activities and offering educational programs (including, but not limited to, attendance by DAF Administrator representatives at Commonwealth conferences and events and one-on-one marketing).","nodeType":"text"}],"nodeType":"paragraph"},{"data":{},"content":[{"data":{},"marks":[],"value":"In return for our assistance in facilitating the activities described above, Commonwealth receives a share in the compensation paid by DAF sponsor charities to their affiliated DAF Administrator. This payment is intended to assist with training and educating financial advisors who conduct business with the affiliated DAF. These payments are paid out of the administrative fees collected by the charity sponsor on your account. 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