I. Firm Policy

Alpha Wealth Funds, LP (“ALPHA WEALTH FUNDS” or the “Firm”)’s policy is to protect investors and
their accounts from identity theft and to comply with the Securities and Exchange Commission’s (the
“SEC”) Red Flags Rule. We will do this by developing and implementing this written Identity Theft
Prevention Program (“ITPP”), which is appropriate to our size and complexity, as well as the nature and
scope of our activities. This ITPP addresses 1) identifying relevant identity theft Red Flags for our firm, 2)
detecting those Red Flags, 3) responding appropriately to any that are detected to prevent and mitigate
identity theft, and 4) updating our ITPP periodically to reflect changes in risks.

Our identity theft policies, procedures and internal controls will be reviewed and updated periodically to
ensure they account for changes both in regulations and in our business.

 

II. ITPP Approval and Administration

The Firm’s Managing Member, Harvey Sax, approved this ITPP. Harvey Sax is the designated identity
theft officer and is responsible for the oversight, development, implementation and administration
(including staff training and oversight of third party service providers of ITTP services) of this ITPP.
Harvey Sax will ensure that this ITPP is provided to and reviewed by all staff of the Firm who have access
to nonpublic personal information of investors.

 

III. Relationship to Other Firm Programs

We have reviewed other policies, procedures and plans required by regulations regarding the protection of
our investor information, including our policies and procedures under Regulation S-P and our Privacy
Policy in the formulation of this ITPP, and modified either them or this ITPP to minimize inconsistencies
and duplicative efforts.

 

IV. Identifying Relevant Red Flags

To identify relevant identity theft Red Flags, the Firm will monitor the following risk areas:

  1. The types of investments offered;
  2. The methods used to open the accounts by investors and third parties; and
  3. The methods used to access the accounts by investors and third parties.

The Firm will also consider the sources of Red Flags, including identity theft incidents it has experienced
and changing identity theft techniques the Firm thinks likely. In addition, we considered Red Flags from
the following categories:

  1. Suspicious Documents
    1. Documents provided for identification appear to have been altered or forged.
    2. Other information on the identification is not consistent with information provided by the
      person opening a new covered account or person presenting the identification or
      information on file with the Firm.
    3. A request for withdrawal of funds appears to have been forged or altered.
  2. Suspicious Personal Identifying Information
    1. Personal identifying information provided is inconsistent when compared against external
      information sources used by the Firm. For example, the Social Security Number (“SSN”)
      has not been issued, or is listed on the Social Security Administration’s Death Master
      File.
    2. Personal identifying information provided by the investor is not consistent with other
      personal identifying information provided by the investor.
    3. Personal identifying information provided is associated with known fraudulent activity as
      indicated by internal or third-party sources used by the Firm.
    4. Personal identifying information provided is of a type commonly associated with
      fraudulent activity as indicated by internal or third-party sources used by the Firm. For
      example, the address provided for delivery of withdrawal proceeds is fictitious, a mail
      drop, or a prison.
    5. The SSN provided is the same as that submitted by other clients.
    6. The address provided is the same as or similar to the address submitted by an unusually
      large number of other prospective clients.
    7. The client fails to provide all required personal identifying information on the withdrawal
      request form or in response to notification that the withdrawal request form is incomplete.
    8. Personal identifying information provided is not consistent with personal identifying
      information that is on file with the Firm.
  3. Suspicious Account Activity
    1. An account is used in a manner that is not consistent with established patterns of activity
      on the account. For example, a material change in frequency or amount of withdrawals
      from an investor’s account or a withdrawal request seeks to have the proceeds paid to a
      different account or address than the one from which the investment was made.
    2. The Firm is notified of unauthorized activity in connection with an investor’s account.
  4. Notices from Law Enforcement Agencies or Other Sources

Some of these categories and examples may be relevant only when combined or considered with other
indicators of identity theft.

 

Detecting Red Flags

The Firm’s detection of Red Flags is based on our methods of getting information about investors and
prospective investors and verifying it, authenticating persons who access the accounts, and monitoring
transactions and change of address requests. Upon opening an account, the Firm will gather identifying
information about and verify the identity of the person opening the account through subscription
documents. For existing accounts, it can include authenticating investors, monitoring redemptions, and
verifying the validity of changes of address.

 

VI. Preventing and Mitigating Identity Theft

Upon review of the Firm’s accounts, how they are opened and accessed, and the Firm’s previous
experience with identity theft, the Firm has developed our procedures below to respond to detected identity
theft Red Flags.

When we have been notified of a Red Flag or our detection procedures show evidence of a Red Flag, we
will take the steps outlined below, as appropriate to the type and seriousness of the threat:

Prospective investor. For Red Flags raised by a prospective client:

  1. Review the subscription documents. We will review the prospective investor’s information
    collected under the subscription documents (e.g., name, date of birth, address, bank account and an
    identification number such as a Social Security Number or Taxpayer Identification Number).
  2. Seek additional verification. We may also verify the prospective investor’s identity by requesting
    the following information on each type of prospective investor:

    1. Individuals:
      1. Copy of biography page (with photo) of the investor’s passport or copy of driver’s
        license;
      2. Proof of the investor’s current address (e.g., current utility bill dated within the
        last 2 months).
    2. Corporations:
      1. Copy of the memorandum of association or articles of incorporation, or by-laws
        (or other equivalent documentation);
      2. Copy of the certificate of incorporation/certificate of trade or the equivalent;
      3. Certificate of incumbency listing names of beneficial owners and directors of the
        investor;
      4. List of duly elected officers of the corporation and their offices, who are duly
        authorized to execute any and all documents in connection with the investment, and a copy of the passports
        or national identity cards and/or document evidencing
        proof of address (i.e., original utility bill or similar document) of at least two of
        the authorized signatories.
    3. Partnerships:
      1. Copy of the partnership agreement;
      2. Copy of the certificate of incorporation/formation;
      3. Copy of the passports or national identity cards and/or document evidencing proof
        of address (i.e., original utility bill or similar document) of all partners authorized
        to execute all necessary documents in connection with the partnership’s
        investment.
    4. Trusts:
      1. Copy of the trust agreement;
      2. List of names of all of the trustees containing the current address of such trustees
        (if not listed in the trust agreement);
      3. Copy of the passports or national identity cards and/or document evidencing proof
        of address (i.e., original utility bill or similar document) of all trustees authorized
        to execute all necessary documents in connection with the Trust’s investment;
      4. A list of the settlors / beneficial owners and the beneficiaries of the trust (if not
        listed in the trust agreement), together with copies of their passports or national
        identity cards and/or separate evidence of their address from an official source.
  3. Deny the application. If we find that the applicant is using an identity other than his or her own,
    we will deny the account.
  4. Report. If we find that the applicant is using an identity other than his or her own, we will report it
    to appropriate local and state law enforcement. We may also report it to the Utah Division of
    Securities.
  5. Notification. If we determine personally identifiable information has been accessed, we will
    prepare any specific notice to investors or other required notice under state law for the state of
    residency of the affected investors.

Access seekers. For Red Flags raised by someone seeking to access an existing investor’s account:

  1. Watch. We will monitor, limit, or temporarily suspend activity in the account until the situation is
    resolved.
  2. Check with the investor. We will contact the investor to describe what we have found and verify
    with them that there has been an attempt at identify theft.
  3. Heightened risk. We will determine if there is a particular reason that makes it easier for an
    intruder to seek access, such as an investor’s lost wallet, mail theft, a data security incident, or the
    investor having given account information to an imposter pretending to represent the firm or to a
    fraudulent web site.
  4. Collect incident information. For a serious threat of unauthorized account access we may collect
    if available:

    1. Dates and times of activity
    2. Details of any wire transfer activity
    3. Investor accounts affected by the activity, including name and account number, and
    4. Whether the investor will be reimbursed and by whom.
  5. Report. If we find unauthorized account access, we will report it to appropriate local and state law
    enforcement. We may also report it to the Utah Division of Securities.
  6. Notification. If we determine personally identifiable information has been accessed, we will
    prepare any specific notice to investors or other required notice under state law for the state of
    residency of the affected investors.
  7. Review our insurance policy. Since insurance policies may require timely notice or prior consent
    for any settlement, we will review our insurance policy (as applicable) to ensure that our response
    to a data breach does not limit or eliminate our insurance coverage.
  8. Assist the investor. We will work with investors to minimize the impact of identity theft by taking
    the following actions, as applicable:

    1. Adding extra security measures before permitting future access to the threatened account;
    2. Offering to change the way the affected investor can make withdrawals from the
      threatened account; or
    3. Providing the affected investor with information regarding the unauthorized access in
      order to facilitate investor’s ability to seek recourse against the parties that attempted the
      fraudulent access of investor’s account or personal information.

III. Relationship to Other Firm Programs

The Firm uses various services providers, such as broker-dealers and custodians, in connection with our
clients’ accounts. We have a process to confirm that our service providers that perform activities in
connection with our clients’ accounts comply with reasonable policies and procedures designed to detect,
prevent and mitigate identity theft by requiring them to have policies and procedures to detect Red Flags
and report them to us or to take appropriate steps on their own to prevent or mitigate identity theft. We will
review each service provider’s policies and procedures to ensure appropriate identity theft safeguards are in
place.

 

VIII. Updates and Annual Review

The Firm will update this plan whenever we have a material change to our operations, structure, business or
location, or when we experience either a material identity theft from a covered account, or a series of
related material identity thefts from one or more covered accounts. ALPHA WEALTH FUNDS will also
follow new ways that identities can be compromised and evaluate the risk they pose for our firm. In
addition, ALPHA WEALTH FUNDS will review this ITPP annually to modify it for any changes in our
operations, structure, business, or location or substantive changes to our relationship with our clearing firm.
Harvey Sax will be responsible to annually update this ITPP as necessary.

 

VIIII. Your Privacy Is Important To Us! Our Privacy Policy

This privacy policy has been compiled to better serve those who are concerned with how their ‘Personally
Identifiable Information’ (PII) is being used online. PII, as described in US privacy law and information
security, is information that can be used on its own or with other information to identify, contact, or locate
a single person, or to identify an individual in context. Please read our privacy policy carefully to get a
clear understanding of how we collect, use, protect or otherwise handle your Personally Identifiable
Information in accordance with our website.

What personal information do we collect from the people that visit our blog, website or app?
When ordering or registering on our site, as appropriate, you may be asked to enter your name, email
address, mailing address, phone number or other details to help you with your experience.
Who is our Data Controller?

All information collected on our site is retained by Day Trade Smart. We do not distribute or otherwise
transfer user data to any third party. To contact our Data Controller, please see the bottom of this policy for
contact instructions.

When do we collect information?
We collect information from you when you register on our site, fill out a form or enter information on our
site.

How do we use your information?

We may use the information we collect from you when you register, make a purchase, sign up for our
newsletter, respond to a survey or marketing communication, surf the website, or use certain other site
features in the following ways:

  • To allow us to better service you in responding to your customer service requests.
  • To send periodic emails regarding your order or other products and services.
  • To follow up with them after correspondence (live chat, email or phone inquiries)

We do not use user data to make automated decisions regarding user data.
Providing personal information is mandatory to gain access to our software and education. Should personal
information not be given, access to our software and education is not possible.

How do we protect your information?
We use regular Malware Scanning.
Your personal information is contained behind secured networks and is only accessible by a limited number
of persons who have special access rights to such systems, and are required to keep the information
confidential. In addition, all sensitive/credit information you supply is encrypted via Secure Socket Layer
(SSL) technology.
We implement a variety of security measures when a user enters, submits, or accesses their information to
maintain the safety of your personal information.
All transactions are processed through a gateway provider and are not stored or processed on our servers.

Do we use ‘cookies’?
Yes. Cookies are small files that a site or its service provider transfers to your computer’s hard drive
through your Web browser (if you allow) that enables the site’s or service provider’s systems to recognize
your browser and capture and remember certain information. For instance, we use cookies to help us
remember and process the items in your shopping cart. They are also used to help us understand your
preferences based on previous or current site activity, which enables us to provide you with improved
services. We also use cookies to help us compile aggregate data about site traffic and site interaction so that
we can offer better site experiences and tools in the future.
We use cookies to:

  • Compile aggregate data about site traffic and site interactions in order to offer better site experiences
    and tools in the future. We may also use trusted third-party services that track this information on our
    behalf.

You can choose to have your computer warn you each time a cookie is being sent, or you can choose to
turn off all cookies. You do this through your browser settings. Since browser is a little different, look at
your browser’s Help Menu to learn the correct way to modify your cookies.
If you turn cookies off, Some of the features that make your site experience more efficient may not function
properly.It won’t affect the user’s experience that make your site experience more efficient and may not
function properly.

Third-party disclosure
We do not sell, trade, or otherwise transfer to outside parties your Personally Identifiable Information.

Third-party links
We do not include or offer third-party products or services on our website.

Google

Google’s advertising requirements can be summed up by Google’s Advertising Principles. They are put in
place to provide a positive experience for users.

https://support.google.com/adwordspolicy/answer/1316548?hl=en
We use Google AdSense Advertising on our website.
Google, as a third-party vendor, uses cookies to serve ads on our site. Google’s use of the DART cookie
enables it to serve ads to our users based on previous visits to our site and other sites on the Internet. Users
may opt-out of the use of the DART cookie by visiting the Google Ad and Content Network privacy policy.

We have implemented the following:

  • Demographics and Interests Reporting

We, along with third-party vendors such as Google use first-party cookies (such as the Google Analytics
cookies) and third-party cookies (such as the DoubleClick cookie) or other third-party identifiers together
to compile data regarding user interactions with ad impressions and other ad service functions as they relate
to our website.

Opting out:
Users can set preferences for how Google advertises to you using the Google Ad Settings page.
Alternatively, you can opt out by visiting the Network Advertising Initiative Opt Out page or by using the
Google Analytics Opt Out Browser add on.

California Online Privacy Protection Act
CalOPPA is the first state law in the nation to require commercial websites and online services to post a
privacy policy. The law’s reach stretches well beyond California to require any person or company in the
United States (and conceivably the world) that operates websites collecting Personally Identifiable
Information from California consumers to post a conspicuous privacy policy on its website stating exactly
the information being collected and those individuals or companies with whom it is being shared. – See
more at: http://consumercal.org/california-online-privacy-protection-act-caloppa/#sthash.0FdRbT51.dpuf
According to CalOPPA, we agree to the following:
Users can visit our site anonymously.
Once this privacy policy is created, we will add a link to it on our home page or as a minimum, on the first
significant page after entering our website.
Our Privacy Policy link includes the word ‘Privacy’ and can easily be found on the page specified above.
You will be notified of any Privacy Policy changes:

  • On our Privacy Policy Page Can change your personal information:
  • By logging in to your account

How does our site handle Do Not Track signals?
We honor Do Not Track signals and Do Not Track, plant cookies, or use advertising when a Do Not Track
(DNT) browser mechanism is in place.
Does our site allow third-party behavioral tracking?
It’s also important to note that we do not allow third-party behavioral tracking

COPPA (Children Online Privacy Protection Act)
When it comes to the collection of personal information from children under the age of 13 years old, the
Children’s Online Privacy Protection Act (COPPA) puts parents in control. The Federal Trade
Commission, United States’ consumer protection agency, enforces the COPPA Rule, which spells out what
operators of websites and online services must do to protect children’s privacy and safety online.
We do not specifically market to children under the age of 13 years old.
Do we let third-parties, including ad networks or plug-ins collect PII from children under 13?

Fair Information Practices
The Fair Information Practices Principles form the backbone of privacy law in the United States and the
concepts they include have played a significant role in the development of data protection laws around the
globe. Understanding the Fair Information Practice Principles and how they should be implemented is
critical to comply with the various privacy laws that protect personal information.
In order to be in line with Fair Information Practices we will take the following responsive action, should a
data breach occur:
We will notify the users via in-site notification

  • Within 7 business days

We also agree to the Individual Redress Principle which requires that individuals have the right to legally
pursue enforceable rights against data collectors and processors who fail to adhere to the law. This principle
requires not only that individuals have enforceable rights against data users, but also that individuals have
recourse to courts or government agencies to investigate and/or prosecute non-compliance by data
processors.

CAN SPAM Act
The CAN-SPAM Act is a law that sets the rules for commercial email, establishes requirements for
commercial messages, gives recipients the right to have emails stopped from being sent to them, and spells
out tough penalties for violations.
We collect your email address in order to:

  • Send information, respond to inquiries, and/or other requests or questions
    To be in accordance with CANSPAM, we agree to the following:
  • Not use false or misleading subjects or email addresses.
  • Identify the message as an advertisement in some reasonable way.
  • Include the physical address of our business or site headquarters.
  • Monitor third-party email marketing services for compliance, if one is used.
  • Honor opt-out/unsubscribe requests quickly.
  • Allow users to unsubscribe by using the link at the bottom of each email.

If at any time you would like to unsubscribe from receiving future emails, you can email us at

  • Follow the instructions at the bottom of each email and we will promptly remove you from ALL correspondence.

10DLC Compliance

Alpha Wealth Funds collects your mobile phone number to better communicate with you. If you have opted in to receive text messages from Alpha Wealth Funds, you may receive text messages related to appointments with a financial advisor or to your investments. Alpha Wealth Funds will contact you at least once every 30 days. Message and data rates may apply. No mobile information will be shared with third parties/affiliates for marketing/promotional purposes.

We adhere to the Cellular Telecommunications Industry Association (CTIA) guidelines, which set the standards for commercial messaging practices. These guidelines are designed to protect consumers and ensure that businesses use mobile messaging responsibly and ethically. Our messaging content complies with carrier and industry regulations. We adhere to the message throughput limits set by carriers. Recipients may reply “STOP” to opt out of text messages at any time. Once they opt out of messaging, no further communication will be messaged to them. We respect and comply with opt-out requests.

Approval
I approve this ITPP as reasonably designed to enable our firm to detect, prevent and mitigate identity theft.

 

Harvey Sax
Managing Member
updated 12/18/24