Notice of Terms and Conditions

Alpha Website Terms and Conditions
(Effective March 31, 2021)

Your Use of this Site
Welcome to our website (“Site”). Your use of this Site and its services (“Services”) will be subject to the following terms and conditions. Please read them carefully. By accessing this Site or using any Service, you are agreeing to these terms, which represent an agreement between you and us (the “Agreement”). If you do not want to be bound by this Agreement, you should leave this Site. Intellectual property laws protect original material that we post on this Site. You are granted a non-exclusive license to access the content on this Site and to print copies of any content only for your personal use. Except as expressly provided above, we reserve all rights to original material we post on this Site. Among other things, except to the extent required for the limited purpose of reviewing material on our Site, electronic reproduction, adaptation, distribution, performance or display is prohibited. Commercial use of any content is prohibited. In this Agreement, the terms “our,” “we” and “us” refer to Alpha RIA LLC (“Alpha”), its affiliates, and the companies that have helped to create and support this Site. We reserve the right to change, add or delete any of the terms set forth below, as well as any of the Services. Certain Services may be subject to limitations that are not expressly stated below. Please check the other portions of this Site for additional details. We assume no responsibility if a Service becomes unavailable for any reason or fails to meet your requirements.

Your Compliance with Laws and Site Guidelines
You agree to comply with the laws that apply to your use of this Site and/or the Services. You also agree not to engage in any activities that: encourage a violation of any law or regulation by others; abuse, harass, stalk, defame, impersonate, or invade the privacy of another; infringe the rights of any third party, including intellectual property, business, contractual, and fiduciary rights; are in any way connected with the transmission of “junk mail,” “spam,” “pyramid/ponzi scheme” solicitations, chain letters, or any other mass distribution of unsolicited e-mail; interfere with the functioning of the Site or any linked website; or involve sending abusive, obscene, hateful, or otherwise offensive content by means of any Service. You also agree to comply with the rules of the internet service providers, networks, hosting and telecommunication services, servers, computer databases, and websites that you access or use in conjunction with this Site and/or the Services.

Your Privacy and Security
We take your privacy very seriously. Please see our general Privacy Policy for details regarding the manner in which we collect and use information about you, maintain the confidentiality of your personally identifiable information, and use technology and procedures to maintain data security. You agree to: (a) notify us immediately if you become aware of any unauthorized use of your account, any breach in the confidentiality of your account records, or any breach or attempted breach of security involving the Site or the Services; and (b) avoid accessing or attempting to access the non-public areas of this Site or any other user’s password-protected information.

Personal Information
As our Site is linked to the internet, and the internet is inherently insecure, we cannot provide any assurance regarding the security of transmission of Personal Information or Personal Data you communicate to us online. We also cannot guarantee that the Personal Information you supply will not be intercepted while being transmitted over the internet to us. Accordingly, any Personal Information or other information which you transmit to us online is transmitted at your own risk.

Links to Third Party Sites and Advertisements
As a convenience to you, you may be able to access websites operated by third parties from this Site. When you select these hyperlinks, you will be leaving our Site. Alpha has no control over third party websites, their content, or security. Unless we tell you otherwise in writing, we do not operate or control any of the information, products, or services on such linked sites. You acknowledge and agree that: (a) you access such linked sites at your own risk; (b) we make no representation or warranty, and assume no responsibility for, any linked site or the actions or omissions of its owners or operators; (c) we make no endorsement of, and assume no responsibility for, any goods or services offered by the companies that manage or support those websites or any other site; and (d) although we may have a contractual or other relationship with the operators of a linked site, we will not be responsible for the content, accuracy, integrity, or operation of their site. We encourage you to read the associated privacy policies by such third party websites to learn more about their data privacy management practices. Alpha may, in its sole discretion, block links to our Site without prior notice.

Third parties may offer goods and services to you through marketing that is made available at or through this Site. Unless we expressly state otherwise, we make no endorsement regarding such parties, and we make no representation, recommendation, or warranty with respect to their goods, services, or advertising. You agree to hold us harmless in connection with our selection of third party advertisers, as well as their actions and omissions. We may use ‘cookies’ to help us tailor our Site to better suit your needs (for example, we may use cookies to enable us to save any personal preferences indicated by you) and to provide a more effective route to various components of our Site. For more information on how our firm utilizes cookies and how you may disable them, please refer to our Cookie Policy.

Investment Recommendations

Alpha RIA LLC (“Alpha”. “the Adviser”) is a United States Securities and Exchange Commission (SEC) registered investment adviser. This website is only intended for clients and interested investors residing in states in which the Adviser is qualified to provide investment advisory services. Please contact Alpha at +1 (212) 933-9301 to find out if the Adviser is qualified to provide investment advisory services in the state where you reside. Alpha does not attempt to furnish personalized investment advice or services through this Site. This Site is limited to the dissemination of general information pertaining to the Adviser’s advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Alpha’s Site on the internet should not be construed by any client and/or prospective client as the Adviser’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the internet. Any subsequent, direct communication by Alpha with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of Alpha, please contact the state securities regulators for those states in which the Advisor maintains a registration filing. A copy of Alpha’s current written disclosure statement discussing the Adviser’s business operations, services, and fees is available at the SEC’s investment adviser public information website: http://www.adviserinfo.sec.gov/Firm/313285 or from Alpha upon request. Alpha does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to the Adviser’s Site or incorporated herein and takes no responsibility therefor. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly. This Site and information are provided for guidance and information purposes only. This Site and information are not intended to provide investment, tax, or legal advice. The information contained herein has been compiled from sources deemed reliable and it is accurate to the best of our knowledge and belief. However, Alpha cannot guarantee its accuracy, completeness, and validity and cannot be held liable for any errors or omissions. Changes are periodically made to this Site and may be made at any time. Different types of investments involve varying degrees of risk, and there can be no assurance that any specific investment will either be suitable or profitable for a client or prospective client’s investment portfolio. Historical performance results for investment indices and/or categories generally do not reflect the deduction of transaction and/or custodial charges, the deduction of an investment management fee, nor the impact of taxes, the payment of which would have the effect of decreasing historical performance results. Past performance may not be indicative of future results. Therefore, no current or prospective client should assume that future performance of any specific investment or investment strategy (including the investments and/or investment strategies recommended or undertaken by Alpha) made reference to directly or indirectly by the Adviser in this Site, or indirectly via a link to an unaffiliated third party website will be profitable or equal the corresponding indicated performance level(s). Fund offering documents contain risk warnings that are specific to each fund that may be described on the Adviser’s websites. Investors should only invest in a fund once they have thoroughly reviewed the prospectus, key investor information, and any other offering document for the fund and carefully considered the relevant investment objectives, risks, charges, and fees.

Limitation on Liability and Warranty Disclaimers
THE SITE IS PROVIDED ON AN “AS IS” AND “AS AVAILABLE” BASIS. NEITHER ALPHA NOR ITS AFFILIATES OR SERVICE PROVIDERS MAKE ANY WARRANTY, EXPRESS OR IMPLIED, REGARDING THIS SITE, ITS CONTENT, THE SERVICES, THE GOODS OR SERVICES ADVERTISED BY THIRD PARTIES VIA THIS SITE, OR LINKED SITES, OR THE SUBJECT MATTER OF THIS AGREEMENT. ALL WARRANTIES, INCLUDING IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE, ARE EXPRESSLY DISCLAIMED TO THE GREATEST EXTENT PERMITTED BY LAW. WE ASSUME NO RESPONSIBILITY FOR THE UNAVAILABILITY OF THIS SITE, FOR VIRUSES CREATED BY THIRD PARTIES, OR FOR INFORMATION PROVIDED BY THIRD PARTIES. NO CONTENT AVAILABLE AT OR THROUGH THE SITE SHALL CREATE ANY WARRANTY. EXCEPT TO THE EXTENT OTHERWISE REQUIRED BY LAW, WE WILL NOT BE LIABLE TO YOU FOR ANY CONSEQUENTIAL, INDIRECT, SPECIAL, INCIDENTAL OR SIMILAR DAMAGES, WHETHER OR NOT THEY ARE FORESEEABLE, INCLUDING CLAIMS FOR LOSS OF GOODWILL, PROFITS, DATA, USE OF MONEY OR PRODUCTS, STOPPAGE OF WORK OR IMPAIRMENT OF ASSETS, WHETHER ARISING OUT OF BREACH OF EXPRESS OR IMPLIED WARRANTY, BREACH OF CONTRACT, NEGLIGENCE, MISREPRESENTATION, STRICT LIABILITY, OR OTHERWISE.
Certain state laws do not allow limitations on implied warranties or the exclusion or limitation of certain damages. To the extent these laws apply to you, some of the provisions set forth in this Agreement may not apply. We will not be liable to you for any failure or delay in performing the Services or making the Site available for your use if the failure or delay is due to: causes beyond our reasonable control; natural catastrophes; governmental actions or omissions; the application of any law, payment system rule, governmental guideline or regulation; terrorism; labor strikes or difficulties; communication system breakdowns; hardware or software failures; viruses introduced by third parties; our inability to confirm your identity or your authority to act; or our inability to procure supplies or materials or access the networks through which we operate the Services. You agree to indemnify, defend and hold us, our affiliates, the vendors that assist us in providing Services, and our respective directors, officers, employees, and agents harmless from and against all claims, actions, proceedings, damages, and costs (including attorney’s fees) related to or arising out of: (i) your use of this Site or the Services; (ii) the actions or omissions of third parties who advertise at our Site or through linked sites; (iii) our reliance on instructions that are accompanied by your password or security code; or (iv) your breach of these terms.

Termination
We may terminate your use of the Site and any of the Services at any time without cause. The terms of this Agreement will continue to apply following its termination to any obligations incurred or arising prior to its termination.

Proprietary Information
You acknowledge and agree that the software used by us in the operation of this Site, and the copyright, patent, trademark (including the Alpha wordmark and ‘dynamic alpha’ logo), trade secret and all other proprietary rights in and to the technology, designs, graphics, marks, and software used by us for this Site and the Services, are proprietary to us and our licensors. As such, you will not gain any ownership or other right, title, or interest in or to them by reason of this Agreement or otherwise. You may not reverse engineer, modify, or de-compile any of the technology that we make available to you. You agree not to engage in the practice known as ‘screen-scraping’ in an attempt to obtain a list of our Site users. You agree to comply with the terms of any license agreement we make available to you with any software.

Amendments

We may add to, delete from, or change the terms of this Agreement by posting a revised Agreement at this Site or by sending you a written or electronic notice. Your continued use of the Site or Services after such notice will be evidence of your agreement to the changes. As such, you should visit this page periodically.

Governing Law

The validity, interpretation and legal effect of this Agreement will be governed by the laws of the State of New York, without reference to its conflict of law provisions. We make no representation that the materials in or the content of this Site are appropriate or available for use in all locations. If you are accessing this Site from outside the United States, for example, you agree to comply with any local laws that apply to your access and use of this Site or the Services.

Severability

If any provision of this Agreement is found to be invalid or unenforceable, the remainder of this Agreement will continue in effect.

Waiver

Any waiver of the provisions of this Agreement by us must be in writing to be valid. No waiver will occur as a result of a usage of trade, custom, or practice. If you have questions or problems regarding this website, you may call us at +1 (212) 933-9301, or write to us at the address set forth below for Notices.

Notices

You may send notices to us at 40 Wall Street, 28th Floor, New York, NY 10005, at hello@alpha-ria.com, or by using the message feature in the Contact page of the Site. We may send notices to you at your postal or e-mail address, or by posting a message on this Site.

Minors

We feel strongly about protecting the privacy of children and teenagers. As such, we do not use this Site to collect or use any personal information from persons we know to be under the age of majority, and will remove personally identifying information about such minors from our system. Our Site is not directed to children and persons under the age of 18 years. By using our Site, you represent and warrant that you are at least 18 years old. We respect the privacy of children and do not knowingly collect or retain personally identifiable information or Personal Data from children and persons under the age of 18 through this Site. However, we may process personal data, on a child’s behalf, with permission from the parent or guardian as part of an account application, for example. To the extent we have unintentionally collected any Personal Data on our Site from a person under the age of 18 years old, you may request and obtain removal of this Personal Data. To make such a request, please send an email with a detailed description of the specific content or information to compliance@alpha-ria.com. Please be aware that such a request does not ensure complete or comprehensive removal of the content or information you have posted and that there may be circumstances in which the law does not require or allow removal even if requested.

Do Not Track Signals
Do Not Track (DNT) is a privacy preference that users can set in certain web browsers and is a way for users to inform websites and services that they do not want certain information about their webpage visits collected over time and across Sites or online services. We do not track users across time or over multiple websites, we do not receive, or respond to, browser do-not-track signals or other similar mechanisms. However, some third party sites do keep track of your browsing activities when they serve you content, which enables them to tailor what they present to you. To learn more about setting up a Do Not Track signal, please visit https://allaboutdnt.com/.

Cookie Policy
This Cookie Policy describes how Alpha collects and uses cookies on our Site. A cookie is a small file that is downloaded onto your computer when you visit a website. Cookies are used by many websites and can do a number of things. For example: remembering your preferences, recording what you have put in your shopping basket, and counting the number of people looking at a website. We use cookies on this Site for the purposes set forth below.
Your Consent
• Analytical purposes: Analytical cookies allow us to recognize, measure and track visitors to our Site. This helps us to improve and develop the way our Site works, for example, by determining whether Site visitors can find information easily, or by identifying the aspects of the Site that are of the most interest to them.
• Usage preferences: Some of the cookies on our Site are activated when visitors to our Site make a choice about their usage of the Site. Our Site then ‘remembers’ the settings preferences of the user concerned. This allows us to tailor aspects of the Site to the individual user.
• Terms and conditions: We may use cookies on our Site to record when a Site visitor has seen a policy, such as this one, or provided consent, such as consent to the terms and conditions on our Site. This helps to improve the user’s experience of our Site. For example, it avoids a user from repeatedly being asked to consent to the same terms.
• Session management: This type of cookie helps the website track internet usage. Session cookies are temporary and are deleted from your machine when your web browser closes.
• Functional purposes: Functional purpose cookies store information that is needed by our applications to process and operate. For example, where transactions or requests within an application involve multiple workflow stages, cookies are used to store the information from each stage temporarily, in order to facilitate completion of the overall transaction or request.
• Third party cookies: When you visit our Site, you may receive cookies that are set by third parties. These cookies are used for the purposes described in the bullet points above. We do not control the setting of these third party cookies, so we suggest you might wish to check the third party websites for more information about their use of cookies and how to manage them.
• Persistent cookies: These cookies store data on a computer for the duration of the period set within the cookie’s file, which is determined by the entity controlling the cookie, and can range from a few minutes to several years, or until manually deleted.
Withdraw Your Consent:
By continuing to use our Site, you are agreeing to our placing cookies on your computer in order to analyze the way you use our Site. Please read this Cookie Policy carefully for more details about the information we collect when you use our Site.
If you do not wish to accept cookies in connection with your use of this Site, you must stop using our Site or withdraw your consent as stipulated below.
Control Cookies through Browser Controls: You can use your web browser to:
• delete all cookies
• block all cookies
• allow all cookies
• block third-party cookies
• clear all cookies when you close the browser
• open a ‘private browsing’ or ‘incognito’ session, which allows you to browse the internet without storing local data
• install add-ons and plug-ins to extend browser functionality
Google has developed a browser add-on to allow users to opt-out of Google Analytics across all websites that use this popular analytics product.
If you do this, however, you may have to manually adjust some your internet browser preferences every time you visit a site and some services and functionalities may not work.
Additional Information: You can visit AllAboutCookies.org for additional information on how you can control, block, and delete cookies.