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Privacy Policy

Privacy Policy Notice

Angel Oak firmly believes that our clients are entitled to the very best service we can offer – and that includes the right to feel comfortable about the personal nonpublic information you share with us. We respect every individual’s right to privacy. We understand the importance you place on the privacy and security of information that personally identifies you or your account information.

The Securities and Exchange Commission has implemented Regulation S-P, which relates to the privacy of consumer financial information, and has established rules in response to Section 504 of the Gramm-Leach-Bliley Act. Regulation S-P and the Gramm-Leach-Bliley Act limit investment companies, broker-dealers, and registered investment advisers in their disclosure of consumers’ and customers’ nonpublic personal information. Regulation S-P also requires that financial institutions provide privacy notices in various instances and to adopt policies and procedures to protect the personal information of its customers. This statement describes our firm’s privacy policy and how we handle your personal information. This policy applies to former, current, and prospective customers, as well as business partners and website visitors.

This notice is intended to tell you where we obtain information about you, how we use that information and who has access to the information. This notice applies to and includes all subsidiaries, parent or sister companies, limited liability companies, partnerships, or other entities controlling, controlled by, or under common control with Angel Oak.

Why and How We Collect Personal Information

We are required by guidelines of our industry to obtain personal information about you while providing investment solutions to you. We use this information to manage your account, direct transactions, and provide you with valuable information. We collect this information mainly from documents you provide to us through forms, personal interaction, and contract negotiations. Angel Oak will never collect more of your personal nonpublic information than intended to manage, support, and service your account. The information includes your name, address, telephone number, internet or network activity when visiting our website, social security number, transactional and financial information, as well as other personal nonpublic information we need to service your account. In addition, we access or generate information to service your account, such as account statements and portfolio holdings. Finally, we may receive information from third parties with respect to your account, such as accounts you may have with other financial institutions.

How We Protect the Confidentiality of Your Personal Information

The security of your personal information is important to us. Angel Oak has developed and implemented technical, organizational and administrative security measures to protect your personal nonpublic information. Angel Oak does not provide, for sale or otherwise, personal information about you to outside firms, organizations, or individuals except as required by law or as requested by you. In the course of regular business, Angel Oak will share relevant information with regulators, financial institutions and other service providers that support our service of your account. We permit these companies to use this information only for the services for which we hire them and are not permitted to use or share this information for any other purpose. There are times when we distribute information about your account to regulators, financial institutions, and service providers electronically which could include transmitting information via email or by other means over unsecure networks.

We use your personal information in ways that are compatible with the purposes for which we originally requested it. For example, we will use the information you give us to process your requests for transactions, to meet regulatory requirements, to provide you with additional information about products and services, or to share information with you about your account. We may also be required to share information by law due to a subpoena, court order, or regulatory requirements. At all times, we will limit the collection and use of personal information to that which is necessary to administer our business and to deliver the best possible service to you. We will retain your personal information for as long as it is necessary to deliver the best possible service to you, unless regulatory requirements require us to retain it for a longer period of time.

Angel Oak restricts access to nonpublic personal information about our customers to employees who need to know such information in order to provide products or services to you. We maintain strict safeguards – physical, electronic, and procedural – designed to protect your personal information and comply with federal standards. If you decide to close your account(s) or become an inactive customer, we will continue to adhere to the privacy policies and practices as described in this notice.

We are Committed to Protecting Your Privacy Rights

Angel Oak and its affiliates provide the ability for you to exercise certain rights with respect to your personal information. In accordance with applicable law, you may be entitled to exercise your rights and choices as follows:

  • Access and Rectification – If any personal information about you is incorrect, or you would like to access your data, please contact (866) 347-1891.
  • Opt Out and Erasure – You may opt out of marketing solicitations at any time, as well as request erasure of your personal data provided to Angel Oak.
  • Right to Object – You may object to the processing of your personal information in cases where Angel Oak relies on its legitimate interest to process your data. The right shall not apply to data which is subject to the Gramm-Leach-Bliley Act.
  • Data Portability – You are entitled to request copies of your personal information and/or request this information be transmitted to another service provider.

California Residents

Angel Oak will not share your personal and browsing information with non-affiliated third parties, except as permitted by California law. California residents have certain privacy rights under the California Consumer Privacy Act which requires a specific privacy policy available here.

Nevada Residents

Residents of Nevada may be placed on our internal Do Not Call List by contacting us at (866) 347-1891. Nevada law requires that Angel Oak provide the following contact information to the Bureau of Consumer Protection.

Bureau of Consumer Protection, Office of the Nevada Attorney General
555 East Washington Street
Suite 3900
Las Vegas, NV 89101
Telephone: (702) 486-3132
Email: [email protected]

Oregon Residents

Angel Oak will not share your personal and browsing information with non-affiliated third parties for marketing purposes, except after you have been informed by us and had an opportunity to indicate you do not want a disclosure made for marketing purposes.

Vermont Residents

Angel Oak will not share your personal and browsing information with non-affiliated third parties, except as permitted by Vermont law, such as to process your transactions or maintain your account. In addition, we will not share information about your creditworthiness with our affiliates except when authorized. For joint marketing, we will only disclose your name, contact information, and information related to your transaction.

Angel Oak and its affiliates have built a reputation for integrity and professionalism among our clients. We value the confidence and trust you have placed in us and strive to protect that trust. We value your business and are committed to giving you the best possible service. If you have questions regarding our customer privacy policy, please contact us at (866) 347-1891.

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Any views expressed on the site you are about to visit, or any articles or interviews therein are those of the participants and are not intended as a forecast or as investment recommendations. Information provided with respect to the Fund’s Portfolio Holdings, Sector Weightings, Number of Holdings, Performance and Expense Ratios are as of the dates described in the article and are subject to change at any time.

 

High Yield Opportunities ETF Prospectus 

Income ETF Prospectus

Mortgage-Backed Securities ETF Prospectus

Multi-Strategy Income Fund Prospectus

Strategic Credit Fund Prospectus

UltraShort Income ETF Prospectus

UltraShort Income Fund Prospectus

 

Return to the Angel Oak Website to access standardized performance or recent portfolio holdings or positions (High Yield Opportunities ETF Performance, Income ETF Performance, Mortgage-Backed Securities ETF Performance, Multi-Strategy Income Fund Performance, Strategic Credit Fund Performance, UltraShort Income ETF Performance, UltraShort Income Fund Performance).

 

Important Social Media Disclosures

 

Performance data current to the most recent month-end and quarter-end can be obtained by clicking the links above.

Past performance is no guarantee of future results. The investment return and principal value of an investment in the Fund will fluctuate so that an investor’s shares, when redeemed, may be worth more or less than their original cost. Current performance may be lower or higher than what is stated.

 

Investing involves risk. Principal loss is possible. Some Funds can make short sales of securities, which involves the risk that losses in securities may exceed the original amount invested. Leverage, which may exaggerate the effect of any increase or decrease in the value of securities in a Fund’s portfolio, may increase the volatility of a Fund. Investments in foreign securities involve greater volatility and political, economic, and currency risks and differences in accounting methods. These risks are increased for emerging markets. Investments in fixed income instruments typically decrease in value when interest rates rise. Derivatives involve risks different from and, in certain cases, greater than the risks presented by more traditional investments. Derivatives may involve certain costs and risks such as illiquidity, interest rate, market, credit, management, and the risk that a position could not be closed when most advantageous. Investments in asset-backed and mortgage-backed securities include additional risks that investors should be aware of, such as credit risk, prepayment risk, possible illiquidity and default, as well as increased susceptibility to adverse economic developments. Investments in lower-rated and non-rated securities present a greater risk of loss to principal and interest than higher-rated securities do. A non-diversified fund may be more susceptible to being adversely affected by a single corporate, economic, political, or regulatory occurrence than a diversified fund. Funds will incur higher and duplicative costs when it invests in mutual funds, ETFs, and other investment companies. There is also the risk that the Funds may suffer losses due to the investment practices of the underlying funds. For more information on these risks and other risks of the Funds, please see the Prospectus.

 

ETFs may trade at a premium or discount to NAV. Shares of any ETF are bought and sold at market prices (not NAV) and are not individually redeemed from the Fund. Brokerage commissions will reduce returns. The Fund is an actively managed ETF, which is a fund that trades like other publicly traded securities. The Fund is not an index fund and does not seek to replicate the performance of a specified index.

 

There is no guarantee that this or any investment strategy will succeed; the strategy is not an indicator of future performance; and investment results may vary.

References to other mutual funds should not be interpreted as an offer of these securities.

Fund holdings and allocations are subject to change at any time and should not be considered a recommendation to buy or sell any security.

Diversification does not guarantee a profit or protect from loss in a declining market.

Indexed annuities are complex, not suitable for all investors, and due to surrender charges it is possible to lose money.

Upside potential may be limited due to participation rates.

The Angel Oak Funds are distributed by Quasar Distributors, LLC.

 

 

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