Privacy Policy

May 2026

Austerra Wealth Management, LLC (“we,” “our,” or “us”) respects your right to privacy and recognizes our responsibility to protect the privacy and security of the personal information we receive from you. We have always been committed to safeguarding the confidentiality and integrity of your personal information. We are proud of our privacy practices and want our current and prospective customers to understand what information we collect and how we use it.

Why We Collect Your Information

We collect and retain only the information necessary to:

• Provide the services you request
• Administer your business with us
• Design and improve our services
• Comply with applicable laws and regulations

What Information We Collect

We may collect the following types of nonpublic personal information about you:

Personally Identifiable Information (PII)

• Your name
• Address
• Social Security number
• Information about your transactions
• Information about your personal financial profile, including your risk tolerance, goals and objectives, assets, liabilities, savings, and investments

Non-Personally Identifiable Information (Non-PII)

• Browser type
• Device ID
• IP address

How We Use Your Information

We may use your information to:

• Verify investor eligibility
• Facilitate transactions and fulfill service requests
• Respond to inquiries and customer service requests
• Deliver communications and regulatory updates
• Maintain regulatory records
• Improve website experience and compliance
• Provide good-faith disclosures to regulators with authority over us

Sources of Your Information

We collect nonpublic personal information from:

• Information you provide on contracts and other forms, including risk tolerance questionnaires and investment policy statements
• Information about your transactions with affiliates or others
• Information collected through our website using cookies and similar technologies

Cookies help us understand where visitors have been online and what content they have viewed.

What Information We Disclose

We share your nonpublic personal information only as permitted by law, including with:

• Your representative within our firm
• Our affiliates
• Mutual funds
• Insurance companies
• Other investment product vendors
• Regulators when required

With your authorization, we may also share information with your professional advisors, including your accountant or attorney.

In the ordinary course of business, we may also disclose information to companies or individuals that perform services on our behalf, such as:

• Recordkeeping
• Computer-related services
• Regulatory reporting

These service providers are contractually required to keep your information confidential and may use it only to perform services for us.

We will not release information about current or former customers unless:

• You provide prior written consent
• We reasonably believe the recipient is you or your authorized representative
• We are required by law to disclose the information

We do not sell your personal information.

Regulation S-P Procedures

Information Security and Incident Response

We maintain written policies and procedures designed to protect the security and confidentiality of nonpublic personal information. Our program includes measures to:

• Identify and assess risks of unauthorized access or use
• Implement and monitor safeguards appropriate to our business
• Detect, respond to, and recover from security incidents affecting customer information

If we determine that nonpublic personal information has been, or is reasonably likely to have been, accessed or used without authorization, we will notify affected individuals as soon as practicable and no later than 30 days after making that determination, unless delayed at the request of law enforcement.

Service Provider Oversight

We require third-party service providers with access to nonpublic personal information to:

• Maintain appropriate security protections
• Notify us promptly of unauthorized access or use
• Cooperate in incident response and mitigation efforts

We also conduct ongoing due diligence and monitoring of our service providers consistent with regulatory requirements.

Individuals Covered

These protections apply to:

• Current clients
• Former clients
• Individuals who provide information while exploring a potential advisory or brokerage relationship, even if no account is opened or agreement is signed

Privacy Notice Delivery

We provide privacy notices consistent with Regulation S-P.

Consumers receive notice before nonpublic personal information is shared with third parties, and customers receive notice before a customer relationship is established.

If a relationship begins by telephone and providing advance notice would materially delay a transaction, the notice may instead be included in the Customer Agreement Form, with your consent.

Annual privacy notices will be provided to all active customer accounts whenever material changes are made to this Privacy Policy.

Confidentiality and Security

We maintain physical, electronic, and procedural safeguards to protect your personal information.

Access to your personal and financial information is limited to authorized associates who require it to perform their responsibilities.

We continue to follow these privacy practices even after your account is closed or becomes inactive.

Cookies and Other Tracking Technologies

We may use IP addresses, cookies, web beacons, tags, and similar technologies to collect broad demographic information and improve your experience on our website.

Our website places cookies in your browser, subject to your browser settings. You may adjust your browser settings to block certain types of cookies.

By continuing to use our website without changing your cookie settings, you consent to our use of cookies.

Disabling cookies may cause some website features or functionality to operate improperly.

We also use tags, beacons, IP addresses, and similar technologies to collect information for the purposes described in this Privacy Policy.

Our websites respond the same way regardless of whether your browser has “Do Not Track” signals enabled.

Contact Us

If you have questions regarding this Privacy Policy, please contact us at 214-810-0250.