BBOOUURRBBOONN FFIINNAANNCCIIAALL MMAANNAAGGEEMMEENNTT,, LLLLCC

616 West Fulton Street, Suite 411 • Chicago, IL 60661, USA

+1 312-909-6539 • Patrick@BourbonFM.com

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OOUURR CCOOMMMMIITTMMEENNTT TTOO YYOOUURR PPRRIIVVAACCYY

Last verified: February, 2012

This notice applies to individuals who obtain or apply for a financial service for personal,

family, or household purposes, or have done so in the past, from Bourbon Financial

Management, LLC (“BFM”). Protecting our clients’ privacy is of paramount importance to

BFM. Your privacy is not for sale. As a financial services company, we believe that the

privacy and security of your data are essential. Personal information you give us is handled

with care.

BFM does not and will not sell your personal information to anyone, for any reason. Because

the trust is the base of our relationship, we attach importance to satisfy the client (“you”). Our

goal is always to give you the best service through a personal access to your information.

Because your satisfaction is important, BFM wants you to know its policy concerning the

communication of your information.

We will not share non-public personal information about our clients with non affiliated third

parties without prior client consent, except for specific purposes described below.

Client information may be released in accordance with applicable laws and

regulations.

This notice explains our collection, use and safeguarding of client information.

HHOOWW DDOOEESS BBOOUURRBBOONN FFIINNAANNCCIIAALL MMAANNAAGGEEMMEENNTT GGAATTHHEERR IINNFFOORRMMAATTIIOONN ::

We may obtain information about you from the following sources:

Client agreements and other information that clients provide to us, whether in

writing, in person, by telephone, electronically or by any other means. This

information may include a client’s name, address, phone number, email address,

social security number, employment information, income, investment experience,

and credit references

Net worth statement

Personal tax returns provided by the client

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We only disclose non-public client information to non-affiliated third parties with prior client

consent when we believe it is necessary for the conduct of our business or as required or

permitted by law, such as:

If you request or authorize the disclosure of the information

To provide client account services or account maintenance

To respond to a subpoena or court order, judicial process, law enforcement or

regulatory authorities

To perform services for the firm or on its behalf to develop or maintain proprietary

trading or other software

In connection with a proposed or actual sale, merger, or transfer of all or a portion of

our business or an operating unit

To help us prevent fraud

We do not make any disclosure of client non-public personal information to other

companies who may want to sell their products or services to you. For example, we do

not sell client lists and we will not sell client names to catalogue companies.

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If, at any time in the future, it is necessary to disclose any of client personal information in a

way that is inconsistent with this policy, we will give our clients advance notice of the

proposed disclosure so that they will have the opportunity to opt out of such disclosure.

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Our Privacy Policy continues to apply to all former clients.

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This Privacy Policy applies to individuals who obtain or have obtained services from Bourbon

Financial Management, LLC used primarily for personal, family or household purposes.

OOUURR SSEECCUURRIITTYY PPRRAACCTTIICCEESS AANNDD IINNFFOORRMMAATTIIOONN AACCCCUURRAACCYY::

We take steps to safeguard client information. We restrict access to the personal and account

information of our clients to our employees and agents for business purposes only. We

maintain physical, and electronic safeguards to guard your personal information.

Additionally, we have internal controls to keep client information as accurate and complete as

we can. If you believe that any information about you is not accurate, please let us know.

OOTTHHEERR IINNFFOORRMMAATTIIOONN::

Independent advice: Bourbon Financial Management is an independent investment

advisor. We do not sell mutual funds or receive commissions from any of the funds we

recommend. As a fee-based advisor, our primary revenue comes from the fees we charge

customers, their employers or financial service firms for the advice portion of our service.

We reserve the right to change this Statement of Privacy Policy. The examples contained

within this Privacy Policy are illustrations and they are not intended to be exclusive. If you

have any questions about our Privacy Policy, please contact Patrick Bourbon, Founder of

Bourbon Financial Management, LLC at 312-909-6539.

FAQ:

What personally identifiable information of mine is collected?

Bourbon Financial Management collects information from you upon registration. At this

point, you provide us with your name, zip code and e-mail address. You may also give us

information about your gender, annual income, state of residence, marital status and your

individual financial accounts. If you indicate you have a spouse or partner, his/her personal

and financial account information will also be requested. If you receive advice, we keep a log

of the advice that we provide to you in our records for your protection. We are required by

law to keep records of your usage of our advisory service. This enables us to provide you with

a history of the advice we have given to you. Occasionally, we may also conduct optional

surveys through our e-mail newsletters. In this case, we would collect the information you

provide us from answering the survey questions.

How is my information used?

Your personal, investment and forecast information are maintained by Bourbon Financial

Management to provide you with the services you have requested and to fulfill our legal and

regulatory requirements.

With whom is my information shared?

Bourbon Financial Management will not sell, reveal or share any of your personal information

to others except in the following limited circumstances:

· We have your permission to share the information;

· We are required or authorized by law to disclose your information (for example, to

comply with a subpoena or regulatory requirement, or to protect against fraud or illegal

activity or for the safety of customers and their property).

What choices are available to me regarding collection, use and distribution of my

information?

At Bourbon Financial Management, we would like to give you control over your account

information. On occasion, we may use your e-mail address to inform you of products or

services that we believe may be of interest to you. If you do not wish to receive future

communications from us, please let us know. We will ensure that you do not receive further

e-mails from us.

How will you notify me of changes in the use of my personal information?

If we are going to use your personally identifiable information in a manner different from that

stated at the time of collection, we will notify you via e-mail. You will have a choice as to

whether or not we use your information in this different manner. In addition, if we make any

material changes in our privacy practices that do not affect user information already stored in

our database, we will post a prominent notice on our Web site notifying users of the change.

In some cases where we post the notice we will also e-mail users notifying them of the

changes in our privacy practices.

© 2012 Bourbon Financial Management, LLC