Privacy Policy

1. Introduction

Riafin Solutions ("we," "our," or "us") is committed to protecting the privacy of our clients, website visitors, and business partners. This Privacy Policy explains how we collect, use, disclose, and safeguard your information when you visit our website or engage our services.

Riafin Solutions operates as a remote operational support and talent solutions provider under the brand name RIAFin, delivering practice management, workflow architecture, and specialized staffing solutions to US independent financial advisors, RIAs, and institutional wealth practices. We understand the sensitivity of financial data and maintain the highest standards of data protection.

2. Information We Collect

2.1 Information You Provide

• Contact Information: Name, email address, phone number, and firm address when you enquire about or engage our services.
• Business Information: Advisory firm name, CRD number (if applicable), custodian affiliations, practice structure, and operational requirements.
• Communication Records: Content of emails, messages, and other correspondence between you and our team.

2.2 Information Collected Automatically

• Usage Data: Pages visited, time spent on our website, referring URLs, and browser type.
• Device Information: IP address, operating system, and device identifiers.
• Cookies: We use essential cookies to ensure our website functions correctly. We do not use advertising or tracking cookies.

2.3 Client Operational Data

In the course of providing our services, our personnel access client and custodial data strictly through encrypted connections directly into our clients' systems. We comply with our clients' written supervisory procedures and US data protection standards (including SEC Regulation S-P guidelines).

3. How We Use Your Information

We use the information we collect to:

• Provide, maintain, and deliver our operational and talent support services.
• Communicate with you regarding our services, consultations, and ongoing engagements.
• Process and manage our business relationship with your firm.
• Comply with applicable legal obligations and regulatory standards.
• Protect against fraud, unauthorized access, and other security vulnerabilities.
• Analyse website performance to enhance user experience.

4. Data Security & Access Controls

We take information security seriously and implement robust technical and operational measures:

• Encryption: All web and communication transfers are encrypted using industry-standard SSL/TLS protocols.
• Access Controls: Strict role-based access controls ensure only authorized personnel access client systems.
• VPN/VDI Architecture: Our team connects to client software tools exclusively through secure Virtual Private Network (VPN) or Virtual Desktop Infrastructure (VDI) sessions.
• Zero Local Data Storage: Client financial information is not downloaded or stored on local devices. All operational work is conducted inside the client's secured cloud environment.
• Confidentiality Agreements: All team members are legally bound by strict non-disclosure and confidentiality covenants.
• Security Pathway: We maintain strict operational protocols aligned with SOC 2 and ISO 27001 information security standards.

5. Data Sharing & Disclosure

We do not sell, rent, or trade your personal or firm information. We share information only under strict conditions:

• With Your Consent: When you have granted explicit authorization to share information.
• Service Delivery: With assigned team specialists who require access to perform the contracted operational services.
• Legal Requirements: When compelled by valid legal process, subpoena, or applicable regulatory inquiry.
• Business Transfers: In connection with a corporate reorganization, merger, or asset acquisition, under strict confidentiality terms.

6. Regulatory Alignment & Data Safeguards

We align our operational security practices with standard US financial regulatory expectations, including SEC Regulation S-P guidelines and GLBA data security standards.

Client advisory firms remain the data owners and controllers for all client and custodial records. RIAFin operates strictly as an operational service provider executing workflows under the client firm's written policies and instructions.

7. Data Retention

We retain firm contact information only for as long as necessary to fulfill our business agreements and regulatory requirements. Client data accessed during engagements is managed within the client's own cloud systems and is never archived outside client-controlled environments.

8. Your Rights

You have the right to access, correct, or request the deletion of the business contact information we maintain about you, subject to applicable legal requirements. To exercise these rights, contact us at the details below.

9. Third-Party Links

Our website may contain links to third-party websites. We are not responsible for the privacy practices or content of external sites. We encourage you to review the privacy policies of any third-party resources you visit.

10. Changes to This Policy

We may update this Privacy Policy periodically. Any modifications will be posted here with an updated effective date. We encourage regular review of this policy.

11. Contact Us

If you have questions regarding this Privacy Policy or wish to inquire about our data security practices, please contact us at: