Privacy Policy – RK Equity Blog

Effective Date: August 19, 2025

1. Introduction and Scope

1.1 Our Commitment to Privacy

RK Equity Advisors, LLC (“RK Equity,” “we,” “us,” or “our”) is committed to protecting the privacy and security of your personal information. This Privacy Policy outlines how we collect, use, disclose, and safeguard your information when you interact with our services. We are dedicated to being transparent about our data practices and to complying with applicable data protection laws.

1.2 Scope of this Policy

This Privacy Policy applies to all personal information we collect and process through our various operations and platforms (collectively, the “Services”). This includes:

Our corporate website, located at https://rkequity.com/.
Our “Lithium-ion Bull” newsletter, “RK Equity Blog” and other email communications.
Our content published on third-party platforms, such as the Rock Stock Channel on YouTube and podcast on platforms like Apple Podcasts and Spotify.
Our interactions with you in the course of providing bespoke capital markets and strategic advisory and consulting services.

Our content reaches a global audience across more than 50 countries, and this policy is designed to address the rights of individuals in various jurisdictions.

1.3 Data Controller Information

For the purposes of applicable data protection laws, such as the EU General Data Protection Regulation (GDPR), RK Equity Advisors, LLC is the “data controller” of the personal information covered by this policy. This means we are the organization that determines the purposes and means of processing your personal information. We are a company based in the United States.

2. The Personal Information We Collect and Its Sources

We collect information to provide and improve our Services. The types of personal information we collect depend on how you interact with us.

2.1 Information You Provide Directly to Us

We collect information that you voluntarily provide to us through our Services.

Contact and Identity Data: When you subscribe to our “Lithium-ion Bull” newsletter, we collect your email address. When you use the “Contact Us” form on our website, we collect your name, email address, and any information you choose to include in the body of your message.
Client and Transactional Data: If you engage with us for advisory services, we may collect professional contact details and information necessary to fulfill our contractual obligations. If you subscribe to our premium content through Patreon, our third-party partner Patreon collects your name, contact details, and payment information to process the transaction. RK Equity receives subscriber information, such as your name and email, from Patreon to manage your access to premium content. Please note that your payment information is processed directly by Patreon and is subject to its privacy policy.

2.2 Information We Collect Automatically

When you visit our website or interact with our digital content, we automatically collect certain technical and usage data using technologies like cookies.

Technical and Usage Data: This information may include your Internet Protocol (IP) address, browser type and version, device identifiers, operating system, referral source, the pages you visit on our site, the time and date of your visit, and the time spent on those pages. We use this information for website analytics, to understand how our audience engages with our content, to improve user experience, and to maintain the security of our Services.

2.3 Information We Receive from Third Parties

We may receive personal information about you from various third parties and public sources.

Content Platforms: We utilize platforms like YouTube, Spotify, and Apple Podcasts to distribute our content. These platforms provide us with aggregated and anonymized analytics regarding viewership and listenership, such as general demographic data and engagement metrics. This data helps us understand our audience and improve our content strategy, but it does not typically identify individual users to us.
Subscription Platforms: As mentioned, when you subscribe to our premium content via Patreon, Patreon provides us with your subscriber information (e.g., name, email) to manage your subscription benefits.
Social Media: If you interact with our official pages on social media platforms like LinkedIn or Twitter, we may receive information from that social network in accordance with your privacy settings on that platform.

Summary of Data Processing Activities

The following table provides a summary of our data processing activities, outlining the categories of data we collect, the purposes of use, and the legal basis for processing under the GDPR. This table is designed to provide clear, accessible information about our practices, in line with the transparency principles of modern data protection laws.

Category of Personal Information	Specific Data Points	Source of Data	Purpose of Use	Lawful Basis (GDPR)
Identity & Contact Data	Name, Email Address	Provided by you (e.g., via contact form, newsletter subscription)	To deliver our newsletter, respond to your inquiries, provide client services, and for marketing communications.	Consent; Performance of a Contract
Transactional Data	Patreon subscription details (name, email, tier)	Third Parties (Patreon)	To manage and provide access to premium content and fulfill subscription benefits.	Performance of a Contract
Technical & Usage Data	IP Address, Browser Type, Page Views, Cookie Data	Collected automatically via our website	To analyze website performance, improve user experience, ensure the security of our Services, and for content strategy.	Legitimate Interests
Aggregated Analytics Data	View counts, listener demographics, engagement metrics	Third Parties (e.g., YouTube, Spotify, Apple Podcasts)	To analyze audience engagement, understand content performance, and inform our content strategy.	Legitimate Interests

3. How and Why We Use Your Personal Information

Our use of your personal information is directly tied to providing and enhancing the specialized intelligence and advisory services you seek from us.

3.1 To Provide and Manage Our Services

We use your information to fulfill our core functions, which include:

Sending you the “Lithium-ion Bull” newsletter if you have subscribed.
Responding to your questions and comments submitted through our contact form.
Managing your premium subscription and providing access to exclusive content through Patreon.
Fulfilling our contractual obligations if you are an advisory or consulting client.

3.2 For Research, Development, and Analytics

Analyzing how users interact with our website and content is fundamental to our business model. We provide a significant amount of high-quality content for free to establish our authority and attract a specialized audience. We use technical and usage data to:

Understand which topics, articles, and videos are most relevant and engaging to our audience.
Improve the functionality and user experience of our website.
Inform our content creation strategy to better serve your interests.

3.3 For Marketing and Communications

We may use your contact information to communicate with you about our services, content, and events. We will only send you direct marketing communications, such as our newsletter, if you have given us your explicit consent to do so. You have the right to opt-out of these communications at any time by using the “unsubscribe” link provided in every email.

3.4 For Security and Legal Compliance

We process personal information to protect our website and services from fraud, abuse, and other security threats. We may also use your information to comply with our legal obligations, resolve disputes, and enforce our agreements.

4. Our Legal Basis for Processing (For Individuals in the EEA)

If you are an individual in the European Economic Area (EEA), we collect and process your personal information only where we have a legal basis for doing so under the General Data Protection Regulation (GDPR). Our legal bases include:

4.1 Consent

We rely on your explicit and freely given consent to process your personal information for specific purposes. This primarily applies to sending you our newsletter and other direct marketing communications. We maintain records of when and how we received your consent. You have the right to withdraw your consent at any time, and doing so is as easy as giving it.

4.2 Performance of a Contract

We process your personal information when it is necessary for the performance of a contract to which you are a party or to take steps at your request before entering into a contract. This applies when you engage us for advisory services.

4.3 Legitimate Interests

We process certain personal information for our legitimate business interests, provided these interests are not overridden by your data protection rights and freedoms. Our legitimate interests are carefully considered and include:

Improving Our Services: Analyzing website and content usage data allows us to enhance the free, high-quality content that our audience values. This processing is necessary for us to maintain our position as a leading research firm in our sector.
Security: Ensuring the security and integrity of our website and IT systems is a fundamental business need.
User Communication: Responding to user inquiries submitted through our contact form that are not related to a pre-contractual or contractual matter.

You have the right to object to our processing of your data based on legitimate interests.

4.4 Legal Obligation

We may process your information where it is necessary for compliance with a legal obligation to which we are subject, such as responding to a lawful request from a government or law enforcement authority.

5. Disclosure and Sharing of Personal Information

We do not sell your personal information for monetary payment. However, we may disclose or share your information with certain third parties under the following circumstances.

5.1 Service Providers

We share information with third-party vendors and service providers who perform services on our behalf. These may include email marketing platforms (to manage and send our newsletter), website hosting providers, and data analytics providers. These providers are contractually obligated to protect your data and are restricted to using it only for the specific services we have engaged them for.

5.2 Third-Party Platforms

When you interact with our content on platforms like YouTube, Patreon, Spotify, or social media sites, your activity is governed by the privacy policies of those platforms. It is important to understand these boundaries; we are responsible for the data we control, but your relationship with these third-party platforms is separate. We only receive data from them as described in Section 2 of this policy.

5.3 As Required by Law

We may disclose your information if we are required to do so by law or in response to a valid legal process, such as a court order, subpoena, or a request from a public authority.

5.4 Business Transfers

In the event of a merger, acquisition, divestiture, or sale of all or a portion of our assets, your personal information may be transferred as part of that transaction. We will notify you of any such change in ownership or control of your personal information.

5.5 “Sale” or “Sharing” under California Law

We do not sell personal information in the traditional sense of exchanging it for money. However, the California Consumer Privacy Act (CCPA) defines “sale” and “sharing” in a broader context. The use of certain third-party analytics and advertising cookies on our website may be considered a “sale” or “sharing” under this definition because our technology partners may use this data for their own purposes, such as improving their services. You have the right to opt out of this activity, as detailed in Sections 6 and 7.

6. Your Data Protection Rights

We respect your right to control your personal information. Your rights may vary depending on your location. We provide the following rights to individuals, regardless of their location, to the extent possible.

6.1 Rights for Individuals in the European Economic Area (EEA)

If you are in the EEA, you have the following rights under the GDPR:

The Right of Access: You have the right to request copies of your personal data.
The Right to Rectification: You have the right to request that we correct any information you believe is inaccurate or complete information you believe is incomplete.
The Right to Erasure (‘Right to be Forgotten’): You have the right to request that we erase your personal data, under certain conditions.
The Right to Restrict Processing: You have the right to request that we restrict the processing of your personal data, under certain conditions.
The Right to Object to Processing: You have the right to object to our processing of your personal data, under certain conditions, particularly where we rely on legitimate interests as our legal basis.
The Right to Data Portability: You have the right to request that we transfer the data that we have collected to another organization, or directly to you, under certain conditions.
Rights in Relation to Automated Decision-Making: You have the right not to be subject to a decision based solely on automated processing, including profiling, which produces legal effects concerning you.

6.2 Rights for Residents of California

If you are a resident of California, you have the following rights under the California Consumer Privacy Act (CCPA), as amended by the California Privacy Rights Act (CPRA):

The Right to Know/Access: You have the right to request that we disclose the categories and specific pieces of personal information we have collected about you, the sources of that information, the business purposes for collecting it, and the categories of third parties with whom we have disclosed it.
The Right to Delete: You have the right to request the deletion of your personal information that we have collected, subject to certain exceptions.
The Right to Correct: You have the right to request the correction of inaccurate personal information that we maintain about you.
The Right to Opt-Out of Sale/Sharing: You have the right to direct us not to “sell” or “share” your personal information, as those terms are defined by the CCPA.
The Right to Limit Use and Disclosure of Sensitive Personal Information: You have the right to limit our use of sensitive personal information (if we collect any) to certain permitted purposes.
The Right to Non-Discrimination: You have the right not to be discriminated against for exercising any of your CCPA rights.

6.3 How to Exercise Your Rights

To exercise any of the rights described above, please contact us by sending an email to privacy@rkequity.com.

To protect your privacy and security, we will take reasonable steps to verify your identity before processing your request. We may need to request additional information from you for this purpose. Any information you provide for verification will be used solely for that purpose. We will respond to your request within the timeframes required by applicable law.

7. Specific Disclosures for California Residents

This section provides additional details required by the California Consumer Privacy Act (CCPA).

7.1 Categories of Personal Information

In the preceding 12 months, we have collected the categories of personal information detailed in the table in Section 2.3. We collect this information for the business and commercial purposes described in Section 3. We have disclosed these categories of personal information for a business purpose to the categories of third parties listed in Section 5.

7.2 Do Not Sell or Share My Personal Information

As stated previously, we do not sell your personal information for monetary compensation. However, our use of third-party analytics services may constitute a “sale” or “sharing” of your personal information under the CCPA’s broad definition. These services help us understand how users engage with our website, which allows us to improve our content.

8. Data Security, Retention, and International Transfers

8.1 Data Security

We have implemented appropriate technical and organizational security measures designed to protect the security of any personal information we process. However, please remember that no method of transmission over the Internet or method of electronic storage is 100% secure. While we strive to use commercially acceptable means to protect your personal information, we cannot guarantee its absolute security.

8.2 Data Retention

We retain your personal information for as long as necessary to fulfill the purposes for which it was collected, including for the purposes of satisfying any legal, accounting, or reporting requirements. To determine the appropriate retention period, we consider the amount, nature, and sensitivity of the personal data, the potential risk of harm from unauthorized use or disclosure, the purposes for which we process it, and applicable legal requirements. For example, information collected based on your consent, such as your email address for our newsletter, is retained until you withdraw your consent.

8.3 International Data Transfers

RK Equity is based in the United States, and any information we collect will be processed and stored in our servers in the United States. If you are accessing our Services from other regions with laws governing data collection and use that may differ from U.S. law, please note that you are transferring your personal information to the United States.

For individuals in the EEA, this transfer is necessary to provide you with our Services. The U.S. has not been deemed to provide an “adequate” level of data protection by the European Commission. To provide a lawful basis for such transfers, we rely on appropriate safeguards, such as the Standard Contractual Clauses (SCCs) approved by the European Commission, to ensure that your personal data is afforded a level of protection consistent with EU law.

9. Important Disclaimers and Disclosures

9.1 Not Investment Advice

The content provided through our Services, including but not limited to the “Lithium-ion Bull” newsletter, “RK Equity Blog”, Rock Stock Channel/Podcast, and our website, is for informational purposes only. It does not constitute financial, investment, legal, or tax advice. You should not construe any such information or other material as a recommendation to buy, sell, or hold any security or investment. All content is information of a general nature and does not address the circumstances of any particular individual or entity. You alone assume the sole responsibility of evaluating the merits and risks associated with the use of any information before making any decisions based on such information.

9.2 Potential Conflicts of Interest

The principals and employees of RK Equity Advisors, LLC may hold positions in the securities of companies mentioned in our content. Furthermore, RK Equity may have acted as a financial advisor or capital raiser for some of the companies discussed and may have received remuneration for these services. Consequently, our content may not be unbiased. We are not registered investment advisors or broker-dealers. You should conduct your own comprehensive due diligence and consult with a qualified financial professional before making any investment decisions.

10. General Provisions

10.1 Children’s Privacy

Our Services are not directed to or intended for use by individuals under the age of 16. We do not knowingly collect personal information from children under 16. If we become aware that we have inadvertently collected personal information from a child under the age of 16, we will take steps to delete such information from our records promptly.

10.2 Links to Third-Party Websites

Our Services may contain links to other websites that are not operated by us. If you click on a third-party link, you will be directed to that third party’s site. We have no control over and assume no responsibility for the content, privacy policies, or practices of any third-party sites or services. We strongly advise you to review the privacy policy of every site you visit.

10.3 Changes to This Privacy Policy

We may update this Privacy Policy from time to time in response to changing legal, technical, or business developments. When we update our Privacy Policy, we will take appropriate measures to inform you, consistent with the significance of the changes we make. We will post the new policy on our website and update the “Effective Date” at the top of this policy.

10.4 Contact Us

If you have any questions, comments, or concerns about this Privacy Policy or our data practices, or if you wish to exercise your data protection rights, please contact us at:

RK Equity Advisors, LLC

Email: privacy@rkequity.com