Trust Center
Verify, don't trust.
One place to check what we claim — how we protect client data, who touches it, how we vet our vendors, how we govern our use of AI, and how we meet our regulatory obligations. A client, a prospect, an examiner, or a peer firm should be able to see how we operate, not just be told.
Protocol Wealth runs its advisory practice on an in-house operating system. The controls that make it trustworthy are not a compliance department reviewing things after the fact — they are built into the system itself: client information is kept out of the AI models, a human fiduciary approves every client-facing recommendation or deliverable, every decision is recorded, and we never hold client private keys. This page is where you can verify each of those claims.
The organizing principle is simple: each layer of the system exists to make the layer above it trustworthy.
Your data
How your information is handled, who touches it, and how those parties are vetted.
Privacy Policy
How we collect, use, and protect your information — and the rights you have over it.
Subprocessors
The full list of third parties that process client information, with each one’s role, data, location, and attestations.
Vendor Due Diligence
How we vet every vendor that touches client information, under SEC Regulation S-P.
Security and AI
The controls that protect client data and govern how AI is used in the practice.
Verify the firm
Inspect the substrate, read the regulatory record, and understand the system underneath.
Custody & Control
How client assets are held, who controls them, and why Protocol Wealth does not take custody of client assets.
Open Source
Inspect the approach. The reusable compliance primitives are published under permissive licenses.
Disclosures
Regulatory disclosures, Form ADV, and Form CRS — the authoritative filings.
What is PWOS
The operating system these controls are built into, and how each layer makes the one above it trustworthy.
Compliance as architecture
Why these aren't just policies
A privacy policy and a security page are often where a trust posture stops. The pages above link to controls that are enforced in the architecture, not asserted in a document: an immutable audit trail that lets an examiner reconstruct what happened, a data pipeline that excludes client identifiers from the AI models by construction, a human-in-the-loop gate with no automatic path to a client, and a non-custodial design in which the client keeps control of their own keys.
That is the same substrate we describe asgoverned decision infrastructure — and it is why we can invite verification rather than ask for trust. This page describes how we operate; it is not a guarantee against every risk, and it is not a security audit or endorsement of any third party.
Clients & prospects
Start with Privacy andSecurity to see how your information is handled and protected.
Regulators & auditors
The subprocessor list,vendor due-diligence standard, andForm ADV are the records to review.
Developers & firms
Open Source andWhat is PWOS show the substrate and how it is governed.
Security concerns:[email protected]· Compliance and data questions:[email protected]
Last updated: July 26, 2026. Protocol Wealth, LLC is an SEC-registered investment adviser (CRD #335298). See ourForm ADVfor authoritative regulatory disclosures. Registration does not imply a particular level of skill or training; advisory services are provided only under a signed advisory agreement.
This page describes how Protocol Wealth operates and points to the authoritative documents on each topic. It is general information — not a guarantee against any risk, not a security audit, certification, or endorsement of any third party, and not legal, tax, or investment advice. The linked policies (Privacy, Disclosures, Form ADV) are the authoritative sources on their topics.