Company Disclosures and Privacy Policy

Contacting Us

If there are any questions regarding this privacy policy or disclosures, you may contact us using the information below.

Penny Lane Wealth Management, LLC

1804 W Union Ave

Tacoma, WA 98405

United States

vip@pennylanefinancial.com

253-327-1177

ADV Part 2A and 2B - click here to read
Last Edited on February 5, 2026

ADVISORY SERVICES THROUGH PENNY LANE WEALTH MANAGEMENT, LLC

Penny Lane Wealth Management, LLC provides investment advisory and financial planning services based on each client’s financial circumstances, goals, and risk tolerance.

Services Offered

Our services include financial planning, retirement planning, investment guidance, and the selection and ongoing monitoring of third-party investment managers. When appropriate, we recommend third-party managers to manage some or all of a client’s portfolio. We provide ongoing guidance and review whether the manager’s investment approach remains aligned with the client’s goals. PLWM does not exercise investment discretion or take custody of client funds.

Fees and Compensation

Fees depend on the services and investment management arrangements selected and are disclosed before the client enters into an agreement. For clients using third-party managers, PLWM receives a portion of the advisory fees charged by those managers. Additional investment, account, or product expenses may apply. Please review Item 5 of our Form ADV Part 2A and the applicable agreements for details.

Conflicts of Interest

Our compensation arrangements and relationships with other financial services companies may create conflicts of interest. These include arrangements with third-party investment managers and referrals to our affiliated company, Penny Lane Financial, LLC. PLWM representatives may receive compensation for certain referrals. Clients are not required to use an affiliated company or accept our recommendations. We disclose these conflicts and have a fiduciary obligation to act in our clients’ best interests. Please review our Form ADV for further information.

Professional Background and Disciplinary Information

Please refer to Item 9 of Penny Lane Wealth Management’s Form ADV Part 2A for the firm’s disciplinary disclosures. Information about individual advisory representatives is available through the SEC’s Investment Adviser Public Disclosure website at https://adviserinfo.sec.gov and, for registered broker-dealer representatives, FINRA BrokerCheck at https://brokercheck.finra.org.

Additional Information

Please review our Form ADV Part 2 and applicable agreements for complete information about our services, fees, compensation, and conflicts of interest. Our Form ADV is linked on this website and is also available upon request.

For questions, contact Penny Lane Wealth Management, LLC at 253-327-1177 or vip@pennylanefinancial.com.

The information on this website is general information and is not personalized investment advice. Recommendations are made only after considering a client’s individual circumstances.

ALEXANDER CAPITAL, LP

Alexander Capital, LP Privacy Policy and legal Disclosure https://alexandercapitallp.com/privacy-policy/

Information we receive from you on applications or other forms (i.e., name, address,
Social Security number) Information about your transactions with us, our affiliates, or others (i.e., to verify account balance and to check on deposits sent to our clearing firm); and Information we receive from you through correspondence (i.e., mail, faxes, electronic correspondence, etc.).Alexander Capital, LP believes you should understand how we treat our customers' nonpublic personal information, and how we use this information to provide products and services to you at your request. This notice, which you should read carefully, addresses our privacy policies and practices at Alexander Capital, LP. What information do we collect? We collect nonpublic personal information about you from the following sources:

What information do we disclose? WE DO NOT DISCLOSE ANY NONPUBLIC PERSONAL INFORMATION ABOUT YOU TO ANYONE, EXCEPT AS PERMITTED BY LAW. In addition, Alexander Capital, LP does not sell or lease any nonpublic personal information about you to anyone. We may disclose any nonpublic personal information, as permitted by law, to effect, service, administer or process a transaction, product or service you have authorized or requested; to protect against fraud, liability or damages to property; to respond to judicial process; or in connection with settling a transaction. Who may we disclose your information to? We disclose nonpublic personal information under circumstances described above in paragraph 2 to the following parties:

Clearing Firm: RBC Capital Markets, LLC.; and
Non-affiliated third parties as permitted by law. How do we treat inactive or closed accounts? If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice. Will you be able to opt-out of information that we provide to our affiliate and non-affiliated third parties? We disclose nonpublic personal information only when it is both permitted by law and required for the ordinary course of business. Therefore, you will not be able to opt-out of the disclosure of nonpublic personal information that we provide to our affiliate and non-affiliated third parties. Revised Policy Notices If we decide to change our privacy policy, we will notify you immediately by providing you with a copy of a revised privacy policy. Confidentiality and Security We restrict access to nonpublic personal information about you to those employees who need to know that information to provide products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information.

PENNY LANE WEALTH MANAGEMENT WEBSITE PRIVACY POLICY

Penny Lane Wealth Management, LLC respects your privacy. This policy explains how we collect and use information through our website.

Information We Collect

We collect information you voluntarily provide when you submit a form, request a consultation, register for an event, or contact us. This may include your name, email address, phone number, and information you include in your message. Please do not submit Social Security numbers, account numbers, or other sensitive financial information through general website inquiry forms.

How We Use Your Information

We use the information you provide to respond to inquiries, arrange consultations, manage event registrations, and follow up about our services. If you subscribe to marketing communications, we also use your contact information to send those communications. Website inquiries and related follow-up records may be stored in our customer relationship management system.

Information Sharing

We do not sell or rent your personal information. We may share information with service providers that support our website, communications, and recordkeeping, including Wix and our customer relationship management provider. We may also disclose information as required or permitted by law.

Our website is hosted on Wix and uses essential cookies to support security and basic website functions. We currently do not use website cookies for analytics, advertising, or remarketing. You can manage or disable cookies through your browser settings. Disabling essential cookies may affect how the website functions.

Third-Party Links

Our website includes links to affiliated companies and other third-party websites. Those websites have their own privacy policies. This policy applies to information collected through the Penny Lane Wealth Management website.

Children’s Privacy

Our website and services are intended for adults and are not directed to children under age 13.

Policy Updates

We may update this policy as our services and website practices change. Updates will be posted on this page.

For questions about this website privacy policy, contact Penny Lane Wealth Management, LLC at 253-327-1177 or vip@pennylanefinancial.com.

GOOGLE ADVERTISING

Penny Lane Wealth Management may use Google Ads to advertise its services on Google and other websites. Google may collect and process information about your interactions with advertisements under its own privacy policy.

We currently do not use Google Analytics, Google Ads conversion tracking, or Google remarketing tags on this website. If we enable these technologies, we will update this policy to explain their use and the privacy choices available to visitors.

For information about Google’s data practices, visit https://policies.google.com/privacy. You can review and manage your Google advertising preferences at https://myadcenter.google.com.

DATA BREACH NOTIFICATIONS

If a data breach requires notification, Penny Lane Wealth Management will notify affected individuals and applicable authorities in accordance with applicable law.

EMAIL COMMUNICATIONS AND UNSUBSCRIBING

We use email to respond to inquiries, provide requested information, and send marketing communications about our services and events. You may unsubscribe from marketing emails using the unsubscribe link in those emails or by contacting vip@pennylanefinancial.com. We will process marketing opt-out requests within 10 business days.

Unsubscribing from marketing emails does not stop communications needed to service your account or meet legal and regulatory obligations.