Privacy Policy

The following describes how ClearList Holdings LLC and its affiliates, including, but not limited to ClearList LLC, Member: FINRA & SIPC, ClearList Securities LLC: Member FINRA & SIPC and ClearList Capital LLC, a registered private fund investment advisor (collectively “ClearList”), handles your personal information, and what steps we take to protect your privacy. This policy applies to current and former customers. We do not use your personal information for marketing purposes.

ACCESSING INFORMATION

Access to customer information is authorized for official business purposes only. ClearList will endeavor to store personal information transmitted by you in connection with your use of the ClearList website (the “Site”) or other ClearList related businesses (collectively, “ClearList Business”) in a secure environment that is suitable to the types of information being processed. Access to this information is restricted to personnel who have a need to know such information in order to conduct ClearList Business or who otherwise need to utilize this information in accordance with the provisions of this Privacy Policy. (References to “you” and “your” are references to you and/or your employer, as appropriate in the context.)

Information that may be collected

In order to access certain portions of the Site or participate in ClearList Business, ClearList may require you to provide certain personal information, including your name, employer, title, social security number, certain identifying documents such as your driver’s license, telephone number and e-mail address. Without this required data, we may not be able to proceed with your request, instructions or other requirements.

While you are within the Site our web servers may recognize, among other things, your: (a) domain name; (b) ISP’s domain name; (c) IP address; (d) browser type; and (e) operating system. We may also record certain “clickstream” information regarding your activity within the Site (including, for example, which pages you view when accessing the Site). While you are within the Site, our web servers may also place cookies on your computer in order to recognize you as a ClearList Site user, to track your use of ClearList products and services and your acceptance of terms of use, disclaimers and similar matters.

Additionally, telephone conversations and electronic communications, such as e-mails and instant messaging, between you and ClearList in connection with ClearList Business may be recorded. ClearList may also collect information about you to help conduct ClearList Business, provide customer service, offer new products or services, and fulfill legal and regulatory requirements. The type of information provided to ClearList varies according to the type of ClearList business being conducted but is not limited to:

  • Information included on your application, subscription documents, and related forms (such as name, address, Social Security number, net worth, and income)
  • Information about your relationships with the Firm (such as prior investments)

How your information may be used by ClearList

Information collected from you and recorded about you in connection with ClearList Business, including all personal information, clickstream information, telephone conversations and electronic communications, may be retained by ClearList and associated with your name and other information collected about you by ClearList.

Such information may be used by ClearList or its agents (e.g., technology and operational support service providers, including, but not limited to, Fundamental Interactions Inc., Ascent Fund Services, WealthBlock Inc., and financial service providers, including, but not limited to, ClearList LLC, ClearList Securities LLC, ClearList Capital LLC, or custodians/clearing agents or other fund administrators employed by ClearList: (a) in order to allow us to provide you with the products and services included within ClearList Business; (b) in order for us to provide you with access to or from other websites or services which contain additional, and sometimes co-mingled products and services; (c) for system development purposes, (d) in connection with any subscriber, user or customer agreement (“User Agreement”) between you and ClearList, between you and one of our agents, or as otherwise agreed by you; (e) in connection with our client management systems; and (f) to satisfy legal and regulatory compliance requirements (collectively, “Permitted Uses”).

To whom and where information may be disclosed

We may transfer or disclose your personal information to other entities as contemplated by the permitted uses. For instance, we may disclose your personal information to our agents or other third parties who are contracted to perform services on behalf of ClearList for ClearList Business including those who assist ClearList in bringing you the Site and providing you with certain services, features and functionality included within or accessible via the Site. ClearList or its affiliates or agents may also be required to disclose your personal information to governmental or regulatory authorities or self-regulatory organizations in response to regulatory inquiries or to comply with applicable laws, rules, regulations, orders, subpoenas or other legal processes.

ClearList may provide or license to third parties trading or other data reflecting, for example, the activity of users of the Site or the use of products or services offered, but ClearList will not identify you as the source of such data.

SECURITY STANDARDS

ClearList continues to assess new technology to evaluate its ability to provide additional protection of your personal information. We safeguard this information in accordance with federal standards and established security standards and procedures. Some of the measures we implement include use of physical, electronic, and procedural safeguards.

Consent

By participating in ClearList Business, using the Site and providing any information that may be required, invited or otherwise collected by us as set out above, you freely consent to ClearList and its affiliates using your information or disclosing your information to third parties for the purposes set out herein.

Revisions to this Privacy Policy

ClearList may revise this Privacy Policy at any time at its sole discretion, and you should review this Privacy Policy whenever accessing or using the Site. Your use of the Site after the posting of any such revisions to the Privacy Policy will constitute your acceptance of such revisions.

How to Contact Us

Should you have any questions or concerns about the information we hold about you, or if you want to withdraw your consent, please contact us at compliance@clearlist.com and put “Privacy Policy” in the subject line.

Sales Associate

Brian Doherty

Brian works with investors and private companies to connect capital with opportunities across the private markets. Before joining ClearList, he built his career in advertising and media sales, where he focused on client relationships, business development, and strategic partnerships. Today, he concentrates on sourcing private market opportunities, building long-term investor relationships, and helping connect buyers and sellers across alternative investments. Brian was drawn to ClearList's entrepreneurial culture and the opportunity to help build a platform expanding access and transparency in private markets. Outside of work, he enjoys spending time on the water, boating, fishing, and staying active outdoors.

Chief Information Officer

Whitney White

Whitney is Chief Information Officer at ClearList, where he leads the firm's technology strategy, cybersecurity, and transaction infrastructure. He brings more than two decades of experience building technology solutions for capital markets, having previously served as a software engineer, architect, CTO, COO, and Head of Equity Capital Markets. Most recently, he co-founded a custodian and transfer agent for alternative assets that was acquired in 2024. At ClearList, Whitney focuses on making private market transactions more efficient through technology while strengthening the firm's infrastructure and security. He was drawn to ClearList's mission of modernizing the infrastructure that supports private markets. Outside of work, Whitney enjoys traveling, sailing, and cooking elaborate meals for family and friends.

Vice President

Neil Tapia

Neil is Vice President at ClearList, where he works across private market transactions, investor relations, and business development. Prior to joining ClearList, he held multiple roles at GTS, one of the world's leading electronic trading and market-making firms, with experience spanning market making, trading, and capital markets. His background across both public and private markets provides a unique perspective on liquidity, market structure, and capital formation. Neil focuses on originating and executing private market transactions, expanding investor and distribution relationships, and supporting the continued growth of the ClearList platform. He was drawn to ClearList's mission of improving access, transparency, and liquidity in private markets as this asset class continues to evolve. Outside of work, Neil enjoys traveling, staying active, and spending time on the golf course.

Director of Private Markets

Gavin Vice

Gavin has more than 25 years of experience in the financial markets, beginning his career on the floor of the New York Stock Exchange after earning an engineering degree from Bucknell University. Throughout his career, he has focused on trading and market structure across the public markets. At ClearList, Gavin works closely with investors to source and facilitate private market opportunities through funds and direct introductions between buyers and sellers. He joined ClearList because of its vision to expand access and liquidity within the private markets by applying proven public market expertise. Outside of work, Gavin enjoys golfing and fishing on the Great South Bay off the coast of Long Island.

 Chief Compliance Officer

Rick Gillette

Rick brings more than 20 years of experience in broker-dealer operations, securities regulation, and financial markets. At ClearList, he focuses on regulatory compliance and helping ensure the firm operates with the highest standards of integrity and oversight. He was drawn to ClearList by its commitment to putting clients first while building innovative solutions for the private markets. Outside of work, Rick enjoys reading, skateboarding, and cooking authentic Chinese cuisine.

Chief Executive Officer

Patrick Murphy

Patrick is Chief Executive Officer of ClearList. He is also Head of NYSE Market Making and Listing Services at GTS and brings more than 30 years of experience across market structure, liquidity, and capital formation. Beginning his career on the floor of the New York Stock Exchange in 1992, Patrick has held senior leadership roles at Bear Stearns, JP Morgan, Barclays, and GTS, participating in more than 500 IPOs throughout his career. At ClearList, he focuses on expanding access to private markets and building infrastructure that improves capital formation, transparency, and liquidity. Patrick co-founded ClearList after recognizing that many of the world's most innovative companies were creating significant value while remaining private, inspiring a mission to broaden access to private market opportunities. Outside of work, Patrick enjoys golfing, surfing, and traveling.

Chief Operating Officer

Kassidy Chaikin

Kassidy is Chief Operating Officer of ClearList, where she oversees the firm's day-to-day operations across its affiliated entities while supporting strategic growth initiatives. Since joining ClearList in 2023 after beginning her career with the GTS Designated Market Maker business, she has played a key role in building the firm's operational infrastructure. Her work spans every department, helping ensure the firm's operations, strategy, and execution remain aligned as ClearList continues to grow. Kassidy was drawn to ClearList's mission of improving access, transparency, and liquidity in the private markets, helping broaden participation in an asset class that has historically been difficult to access. She holds bachelor's degrees in Statistics and Philosophy, Politics & Law, along with a master's degree in Statistics from Binghamton University. Outside of work, Kassidy enjoys running, cooking, attending Broadway shows and traveling to experience new cultures.

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