Privac

PRIVACY NOTICE

Investment Advisers are required by Federal law to inform their clients of their policies regarding privacy of client

information. Tidal Investments LLC (the “Firm”) appreciates the trust our clients place in us, and we recognize the

importance of protecting the confidentiality of non-public personal information that we collect from them through our

business relationships. The information is used to ensure accuracy in reporting and record keeping, to perform our

regular course of business, and to comply with the law and our regulators. Keeping this information secure is a top

priority for us, and we are pleased to share with you our Privacy Policy:

1. We collect non-public personal information about our clients from the following sources: 

a. Our Investment Management Agreement

b. Applications (e.g., account applications)

c. Records of accounts under our management

d. Other forms, correspondence, and communications

2. The information we collect can include:

a. Name, address, social security number, and date of birth

b. Assets, income, and investment objectives

c. Transactions and investments with us (account values, transactions, etc.)

d. Other information useful to our services

3. We maintain administrative, physical and electronic safeguards to protect non-public personal infor- mation.

4. We may disclose non-public personal information about our clients and former clients to employees, inde-

pendent contractors, or other third parties with whom we have contracted to perform services on our be-

half, such as brokerage, legal, accounting, compliance, and data processing services, as well as in order to

comply with legal and regulatory requests made to us, and to assist with law enforcement, investigations,

complaints, regulatory requests, litigation, arbitration, mediation, and other legal processes.

5. Note that our Privacy Policy includes no right to disseminate non-public personal information about our

clients and former clients to any external or third party for marketing or other purposes not directly related

to servicing your account.

6. We may disclose non-public personal information about our clients and former clients as required by Fed-

eral, state, or local law. We will provide notice of changes in our information sharing practices. If, at any

time in the future, it is necessary to disclose any of your personal information in a way that is inconsistent

with this policy, we will give you advance notice of the proposed change so you will have the opportunity

to opt-out of such disclosure.

Other Important Information

  • For California residents: We will not share information we collect about you with nonaffiliated third par-

ties, except as permitted by law. We will not share information about your creditworthiness with our affil-2024

iates, as applicable, other than as permitted by California law, unless you authorize us to make those dis-

closures.

  • For Nevada clients: Section 340 of the Nevada Privacy Law requires that an operator post a privacy poli-

cy, which is called a “notice” in Nevada. We are providing you this notice pursuant to state law. We will

not share information we collect about you with nonaffiliated third parties, except as permitted by law. We

will not share information about your creditworthiness with our affiliates, as applicable, other than as

permitted by Nevada law, unless you authorize us to make those disclosures.

  • For Vermont residents: We will not share information we collect about you with nonaffiliated third par-

ties, except as permitted by law, including, for example with your consent or to service your account. We

will not share information about your creditworthiness with our affiliates, other than as permitted by Ver-

mont law, unless you authorize us to make those disclosures.

  • No mobile information will be shared with third parties/affiliates for marketing/promotional purposes. All

other categories exclude text messaging originator opt-in data and consent; this information will not be

shared with any third parties

Tidal Investments LLC is an investment adviser registered with the Securities and Exchange Commission (The "SEC")

under The Securities Exchange Act of 1934 ("The Act"). The Firm is committed to safeguarding the confi- dential

information of our clients. We will provide notice of changes in our information sharing practices. If, at any time in

the future, it is necessary to disclose any of your personal information in a way that is inconsistent with this policy,

we will give you advance notice of the proposed change so you will have the opportunity to opt out of such disclosure.

Your choices will apply to you alone unless you tell us otherwise. However, your choice to limit sharing with

nonaffiliates to market to you for accounts will apply to all account holders. Please note: Direct marketing is email,

postal mail and telephone marketing. Your telephone and postal mail opt-out choices will last for five years, subject

to applicable law. Even if you limit direct marketing, we may still contact you to service your account or as otherwise

allowed by law.

Confidentiality and Security

We restrict access to non-public personal information about you to those employees who need to know that

information to provide financial products or services to you. We maintain physical, electronic, and procedural

safeguards that comply with federal standards to guard your nonpublic personal information.