Privacy Policy

Keats Group LLC
Last updated: August 2026

Keats Group LLC (“Keats Group,” “we,” “us,” or “our”) respects your privacy and is committed to protecting the personal information you share with us through www.keatsgroup.com (the “Site”) and in the course of our financial planning and wealth management services. This Privacy Policy explains what information we collect, how we use and protect it, and the choices available to you.

Please note that Rexford Cattanach is an Investment Adviser Representative (“IAR”) of AdvisorShare Wealth Management (“ASWM”), an investment adviser registered with the U.S. Securities and Exchange Commission. As a registered investment adviser and its representatives, Keats Group and ASWM are subject to federal privacy regulations, including Regulation S-P, in addition to this Policy.

1. Information We Collect

We may collect the following categories of information:

Information you provide directly, such as when you:

Complete a contact or “request a consultation” form on the Site.
Subscribe to our newsletter or blog.
Call or email our office.
Engage us for financial planning or wealth management services.

This may include your name, email address, phone number, mailing address, and any other details you choose to share.

Financial and personal information collected as a client. If you become a client, we collect nonpublic personal information as part of providing financial planning and wealth management services, which may include income, assets, account numbers, investment holdings, tax information, estate planning documents, health information relevant to planning, family and beneficiary information, and Social Security number. This information is collected directly from you, through your transactions with us or our custodians, and, where applicable, from consumer reporting agencies.

Information collected automatically. Like most websites, our Site may use cookies and similar technologies (including analytics tools) to collect standard technical information, such as IP address, browser type, device type, pages visited, and referring URLs.

2. How We Use Your Information

We use the information we collect to:

Respond to inquiries and provide requested information about our services.
Communicate with you, including sending newsletters you have opted to receive.
Provide, administer, and service your financial planning and wealth management relationship.
Prepare financial plans, analyses, and recommendations.
Meet our legal, regulatory, and compliance obligations.
Improve and maintain the security and functionality of our Site.

We do not use your personal information for any purpose other than as described in this Policy or as you separately authorize.

3. How We Share Your Information

We do not sell your personal information.

We may share information as follows:

With service providers. We may share information with custodians, broker-dealers, portfolio management systems, financial planning software providers, and administrative service providers who assist us in delivering our services, subject to confidentiality obligations.

With ASWM. As Mr. Cattanach’s registered investment adviser, ASWM may receive client information necessary to supervise the advisory relationship and comply with regulatory requirements.

With professionals you authorize. With your consent, we may share information with your attorney, accountant, or other professionals involved in your planning.

As required by law. We may disclose information in response to a subpoena, court order, regulatory request, or other legal process, or to protect the rights, property, or safety of Keats Group, our clients, or others.

In a business transition. If Keats Group were to undergo a merger, acquisition, or transfer of assets, client information may be transferred as part of that transaction, subject to applicable confidentiality obligations.

SMS Communications & Consent. If you choose to provide your mobile phone number and opt in to receive SMS messages, Keats Group LLC may send you text messages related to your inquiry, including appointment reminders, scheduling updates, service-related updates, and follow-up communications.

Message frequency may vary. Message and data rates may apply. You may opt out of SMS messages at any time by replying STOP. For assistance, reply HELP.

We do not sell, rent, or share mobile phone numbers, SMS consent, or SMS message data with third parties or affiliates for marketing or promotional purposes.

Mobile phone numbers and SMS consent information are used only to communicate directly with you regarding your inquiry, appointments, and service-related updates. Information may be shared only with trusted service providers as necessary to deliver our services, such as SMS messaging platforms, and only for that purpose.

We do not otherwise disclose nonpublic personal information about current or former clients to nonaffiliated third parties, except as permitted by law.

4. Your Choices

Newsletter/marketing communications. You may unsubscribe from our newsletter or marketing emails at any time using the unsubscribe link included in those communications or by contacting us directly.

Opt-out rights. To the extent we share information in ways that trigger opt-out rights under Regulation S-P or applicable state law, we will provide instructions for exercising that opt-out at the time of disclosure or in our separate client privacy notice.

5. Data Security

We maintain administrative, technical, and physical safeguards designed to protect your personal information from unauthorized access, use, or disclosure. No method of electronic transmission or storage is completely secure, and we cannot guarantee absolute security.

Important: For your protection, we do not accept email instructions to authorize, direct, or execute securities transactions, wire transfers, or other financial transactions. Any such request must be confirmed verbally before we act on it.

6. Cookies and Analytics

Our Site may use cookies and third-party analytics tools (such as website traffic analytics) to understand how visitors use the Site and to improve user experience. You can typically adjust your browser settings to refuse cookies, though some Site features may not function properly if you do so.

7. Third-Party Links

Our Site may contain links to third-party websites, including our newsletter platform. We are not responsible for the privacy practices or content of those third-party sites. We encourage you to review the privacy policies of any third-party site you visit.

8. Children’s Privacy

Our Site and services are not directed to individuals under the age of 18, and we do not knowingly collect personal information from children.

9. Retention of Information

We retain client information for as long as necessary to provide our services and to comply with our legal, regulatory, tax, and recordkeeping obligations, which, for investment advisers, typically extend for a period of years following the end of the client relationship.

10. Changes to This Policy

We may update this Privacy Policy from time to time to reflect changes in our practices or applicable law. The “Last updated” date at the top of this page indicates when it was most recently revised. We encourage you to review this page periodically.

11. Contact Us

If you have questions about this Privacy Policy or how your information is handled, please contact us:

Keats Group LLC
Minneapolis–Saint Paul, MN
Phone: (651) 773-8400
Website: www.keatsgroup.com

This Privacy Policy is provided for general informational purposes and does not constitute legal advice. Keats Group LLC is a financial planning and wealth management firm; Rexford Cattanach is a fiduciary Investment Adviser Representative of AdvisorShare Wealth Management (ASWM), an investment adviser registered with the U.S. Securities and Exchange Commission. Neither Keats Group, Rexford Cattanach, nor ASWM provides legal, accounting, or tax advice.