ICG Capital Partners is committed to maintaining the security and confidentiality of personal information supplied by current and potential customers. Our policy is to protect the confidentiality of consumer information. Our employees exercise great care when dealing with personal information from clients, and we have installed procedures for handling of personal information.

ICG collects nonpublic personal information about you from the following sources:

• Information we receive from you on applications or other forms;
  
• Information about your transactions with us or others; and
  
• Information we receive from a consumer-reporting agency.

ICG does not disclose and does not reserve the right to disclose nonpublic personal information to affiliates or nonaffiliated third parties, except as permitted by law.

Nonpublic personal information can include:

• Personally identifiable financial, and non-financial information; and
• Any list, description, or other grouping of customers (including publicly available information pertaining to them) that is derived using any personally identifiable financial information that is not publicly available information.

ICG restricts access to your personal information to those employees who need to know that information to provide products or services to you, and maintains physical, electronic, and procedural safeguards to guard your nonpublic personal information.

If you decide to become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.

As a consumer, you have the right to instruct your broker/dealer that personal information not be shared, subject to certain specific exceptions relating to joint marketing programs, outsourcing to service providers and legal and regulatory disclosure.

Please feel free to contact us at (704) 332-1930 if you have any questions regarding this notice.