Privacy Policy


Federal privacy laws require that we explain to you how we handle “nonpublic personal information.”  This is information that in the course of our relationship with you, we receive or develop about you.  It includes (1) information you provide to us orally or on applications or other forms, and (2) information we develop about you in the course of providing our services to you, such as the amount and type of your assets that we manage and transactions we place on your behalf. 

As a general rule, we do not disclose this private information to others.  As you might imagine, however, we rely on certain third parties for services that are necessary to enable us to provide our investment services to you.  These may include our attorneys, auditors, prime brokers and custodians who, in the ordinary course of providing their services to us, may require access to information containing your nonpublic personal information.  We may also disclose certain of your non-public personal information to an affiliated firm which writes newsletters that is 100% owned and operated by our principal(s) if we believe that you may be interested in the services provided by our affiliate.  In addition, we may disclose your nonpublic personal information to others with your consent, where required by law or judicial process (such as a court order), or otherwise to the extent permitted under the federal privacy laws.

We also restrict access to your nonpublic personal information among our own personnel.  Only those who need the information in order to help us provide investment advisory services to you have access.  It is our policy that, where we are not comfortable a service provider is already bound by duties of confidentiality (e.g., attorneys and auditors), we will require contractual assurances that they will maintain the confidentiality of any of your information they obtain. 

We are required to maintain your records after termination of our relationship for a minimum of 5 years to meet our regulatory obligations.  Occasionally we review our records for records that are no longer required to be kept.  Any documents that are discarded will be securely destroyed.

If you have any questions about our practices with respect to your nonpublic personal information, you may contact us by e-mail, telephone or mail at the following:

Mr. David R. Fried
Fried Asset Management, Inc.
1505 4th Street, Suite 203
Santa Monica, CA  90401
(310) 459-9196

The following documents are also available upon request:

  • Our Form ADV:  This is a document that we have filed with the states in which we maintain an investment adviser registration.  It details information and facts about Fried Asset Management, Inc.
  • An independent verification report of the performance of the equity growth portfolios of Fried Asset Management, Inc.