What this policy covers
This policy describes what information Baker 1031 Investments, LLC (“Baker 1031,” “we”) collects through baker1031.com, how it is used and protected, and the choices you have. Securities are offered through Aurora Securities, Inc. (“Aurora”), member FINRA/SIPC; Baker 1031 Investments, LLC is independent of Aurora Securities, Inc. Brokerage accounts and transactions carried through Aurora are also governed by Aurora's own privacy notices.
Why we collect information
We gather and retain only the information necessary to provide the services you request, administer your business with us, design and improve the services we offer, and comply with the laws and regulations that govern securities business.
Information you provide
When you request access, we collect what you enter in the form: name, email address, phone number, state, and the information you share about your transaction, objectives, preferences, household financial profile, and investor status. Over the course of a client relationship we may also collect other nonpublic personal information — such as identity information, transaction history, and financial-profile details like risk tolerance, goals, assets, liabilities, and investments. When you log in as a registered investor, we use the email address on your account to identify you. When you email, text, or call us, we keep the correspondence.
Information collected automatically
Logged-in investors: we record which offering pages your account views, tied to your investor record, so we can prepare for conversations about the deals you have looked at. Login sessions use a single essential cookie (b31_session) that keeps you signed in for up to 30 days; it contains no tracking identifiers and is not shared with anyone. The site also loads a visitor-tracking script from our customer relationship management platform (GoHighLevel), which uses cookies and similar identifiers to recognize returning visitors and connect website activity with our follow-up when you submit the request-access form. Our hosting provider (Netlify) keeps standard server logs, including IP addresses, for security and reliability. Like most websites, these tools may collect browser type, device identifiers, and IP address. You can set your browser to reject some or all cookies; some features may not work as expected without them. This site operates no differently whether your browser's “Do Not Track” signal is enabled or disabled.
How information is used
We use your information to verify investor eligibility, respond to your request and follow up on your exchange or investment inquiry, determine which offerings may be appropriate to discuss with you, facilitate transactions and fulfill service requests, deliver communications and regulatory updates, maintain the books and records securities regulations require, make good-faith disclosures to regulators with authority over us, and operate, improve, and secure the site. Form submissions are stored in our customer relationship management system and our investor records.
Sharing
We share information with Aurora Securities, Inc. as required to carry securities business through them; with service providers that support our operations (hosting, database, CRM, recordkeeping, email delivery), which are contractually obligated to maintain strict confidentiality, are not permitted to use your personal information for their own purposes, and may use it only to perform the specific services we request; and where the law requires it. Beyond that, we will not release information about customers or former customers unless we receive your prior written consent, we believe the recipient to be you or your authorized representative, or we are required by law to release it. We do not sell your personal information to anyone.
Information security and incident response
We maintain physical, electronic, and procedural safeguards designed to protect the security and confidentiality of nonpublic personal information, consistent with SEC Regulation S-P. Our program includes measures to identify and assess risks of unauthorized access or use, implement and monitor appropriate safeguards, and detect, respond to, and recover from security incidents affecting customer information. Access to investor records is restricted to authorized associates who need them. 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 that determination, except where a delay is requested by law enforcement. No internet transmission is perfectly secure, so please do not send account numbers or transaction instructions through unsecured channels.
Service provider oversight
Third-party service providers with access to nonpublic personal information must maintain appropriate protections, notify us promptly of any unauthorized access or use, and cooperate in incident response. We conduct ongoing due diligence and monitoring of service providers consistent with regulatory requirements.
Who these protections cover
These protections apply to current and former clients, and to individuals who provide information in connection with a potential brokerage relationship — even if no account is opened and no agreement is signed. We continue to follow the practices in this policy after an account is closed or becomes inactive.
SMS / text messaging policy
If you provide your mobile number and consent to texts, we collect and use that number solely to send messages you have agreed to receive — replies to your inquiry, appointment scheduling and reminders, account and service updates, and, where you have separately consented, occasional marketing or educational messages. Message frequency varies; message and data rates may apply. No mobile information is shared with third parties or affiliates for marketing or promotional purposes. We do not sell, rent, lease, or share your mobile number or SMS consent with any third party for their own marketing; your number may be shared only with trusted providers who deliver messages on our behalf and must protect it. Consent to receive texts is not a condition of any purchase or service. Reply STOP to opt out at any time or HELP for help, or call (415) 991-4895. SMS is not a fully secure channel — please do not send sensitive information, transaction instructions, or money-movement instructions by text.
California privacy rights
California residents may request information about whether we have disclosed personal information to third parties for those parties' direct marketing purposes, and may request access to or deletion of personal information as provided by California law; we respond to verified requests within the timeframes the law requires (generally 45 days). We do not sell personal information. To make a request, write to us at the contact address below.
Your choices and opting out
You can ask what we hold about you, ask us to correct it, or ask us to delete what we are not legally required to retain, by emailing invest@baker1031.com. Securities regulations require us to retain certain records for set periods even after a deletion request. We do not share your information with third parties in ways that would trigger a legal opt-out right — which means you are effectively already opted out of those sharing situations. To decline marketing communications, use the unsubscribe link in any email, reply STOP to any text, or write to us.
Contact
Questions about this policy: invest@baker1031.com or (415) 991-4895, Baker 1031 Investments, 1700 Montgomery St, Ste 108, San Francisco, CA 94111. For matters specific to Aurora Securities, Inc., contact Aurora's Chief Compliance Officer at 2565 West Maple Road, Troy, MI 48084.