IEQ Capital, LLC (“IEQ” or the “Firm”), a Delaware limited liability company, was founded in 2019. Since December 2022, the Firm's direct owner is IEQ MidCo III, LLC (“MidCo III”), a Delaware limited liability company. MidCo III’s direct owner is IEQ MidCo II, LP, a Delaware limited partnership (“MidCo II”). MidCo II is majority-owned by IEQ MidCo I, LLC, a Delaware limited liability company and majority-owned subsidiary of IEQ Holdings, LLC. IEQ is managed by Co-CEOs Eric Harrison, Robert J. Skinner II and Alan Zafran, along with Frank McFarland, Jeffrey Westsmith, and IEQ’s Executive Team, which includes IEQ’s CCO, CFO and Chief Client Officer. In January 2023, certain funds managed by Stone Point Capital LLC, an unrelated third-party investment adviser, acquired minority interests in MidCo II, which entitle the holder to a non-controlling voting interest in MidCo II, customary minority consent rights and information rights, and the right to appoint a non-controlling percentage of MidCo II’s board members. After the transaction, IEQ continues to provide the services and manage Client Accounts (as defined below) as described herein. IEQ provides portfolio management and investment advisory services (collectively, “Advisory Services”) primarily to individuals, high net worth individuals or families, as well as trusts, foundations, endowments, non-profit organizations and other business entities herein referred to each as a “Client” and collectively the “Clients”, as described under Investment Management and Supervisory Services below. As a fiduciary, when providing Advisory Services IEQ acts in the Clients’ best interest and fulfills its obligation by working closely with Clients to identify and understand their investment objectives while building a long-term relationship. In addition, IEQ offers its Clients certain ancillary administrative services (collectively, the “Ancillary Services”) which are not investment advisory in nature, as further described under Ancillary Services below. Investment Management and Supervisory Services Clients are strongly encouraged to inform IEQ of any life event on a timely basis (e.g., changing jobs, change in marital status, death) that might impact the advisory services rendered by IEQ. It is a Client’s responsibility to furnish their IEQ Portfolio Manager and, to the extent applicable, any Independent Manager (in each case as defined below) with complete, accurate, and current information about such Client's personal and financial circumstances, goals and preferences because it will be the basis for the recommendations and advice the Client receives. Neither IEQ nor any Independent Manager independently verifies the information that Clients provide. Furthermore, IEQ does not automatically take into consideration other information that Clients provide or make available to IEQ in connection with their receipt of any Ancillary Services, or to any Independent Managers. Clients are responsible for furnishing all information to their IEQ Portfolio Manager that the Client would like IEQ to consider in formulating its investment recommendations. IEQ typically will manage client assets in separately managed accounts (each, an “SMA” or a “Client Account”, collectively, the “SMAs” or the “Client Accounts”). An SMA is a dedicated account owned by a Client and governed through an investment management agreement (“IMA”) between the Client(s) and IEQ. IEQ does not participate in a wrap fee program. As part of the Advisory Services provided to a Client, IEQ will work with the Client, typically on a household basis, to develop and tailor a formal Investment Policy Statement (“IPS”) that reflects such information as, but not limited to, the Client’s financial situation, investment objectives, liquidity requirements, risk tolerances, and any reasonable investment restrictions requested by the Client and accepted by IEQ. IEQ typically invests Client assets in stocks, exchange-traded securities, mutual funds, index funds and alternative private investments, but also invests in other securities and financial instruments within the capital structure, including Digital Assets (as defined below). With respect to certain Clients, IEQ will also assist in the development of 10b5-1 plans. IEQ could also, and currently does for many Clients, engage one or more third-party sub- advisers (“Independent Managers”) to manage a portion of client assets on a discretionary basis if deemed in the best interest of a Client, subject to that Client’s IMA and IPS. Certain Independent Managers arrangements are “inherited” as a result of the transition of wealth managers from another investment adviser to IEQ. IEQ also uses some Independent Managers as an “outsourced Trading Desk” to implement models delivered by other Independent Managers. IEQ will generally execute a sub-advisory agreement with each Independent Manager although there might be instances where IEQ could require Clients to sign separate written agreements directly with those Independent Managers instead of IEQ doing so on a Client’s behalf. Additionally, Clients could be asked to open new custodian accounts with a third-party custodian to separate the sub-advised assets from other Client assets advised by IEQ. Independent Managers will generally have limited power-of-attorney and will have only trading authority over those assets IEQ directs to them for management. Independent Managers will be authorized to buy, sell and trade on behalf of a Client’s account and to give instructions, consistent with their authority, to the relevant broker-dealer and custodian. The fees charged by the Independent Managers will be disclosed to Clients in the account statements and applicable fee schedules, and will be in addition to the management fees charged by IEQ. In addition to management fees, the Client will likely incur transaction and custodial fees on assets managed by the Independent Manager. IEQ will monitor and review all such sub-advised accounts on a periodic basis and conduct initial and ongoing investment and operational due diligence on the Independent Managers. Clients whose assets are managed by an Independent Manager are encouraged to carefully review such Manager’s Form ADV and/or other provided disclosure materials for more information about that Manager, including any applicable conflicts of interest. Client Investments in Private Funds Where suitable, IEQ recommends to Clients investments in private pooled investment vehicles. These private pooled investment vehicles can take the form of: 1. Access Vehicles  Privately offered fund vehicles (“Access Funds”) formed, sponsored, and managed by Institutional Capital Network, Inc. (“iCapital”). These Access Funds aggregate client capital to invest in certain third-party alternative investment funds sourced and evaluated by IEQ. iCapital and IEQ created a white labeled platform that IEQ representatives (“Portfolio Managers”) can utilize to access and allocate client capital to.  IEQ acts as sub-adviser to each Access Fund pursuant to the Sub-advisory Agreement between the two firms. iCapital receives administrative fees from each Access Fund on their platform and all fees (including, but not limited to, tax reporting oversight services fee and a report aggregation fee) are disclosed in each Fund’s respective private placement memorandum, subscription documents and/or limited partnership agreements (“Offering Materials”). IEQ receives compensation for serving as sub-adviser to the Access Funds. The Access Funds will also charge administrative, audit, legal and other such allowable expenses pursuant to the Offering Documents. Clients are required to receive, review, and execute the Offering Materials prior to being accepted as an investor in any of these Access Funds. 2. Direct Investments  On occasion, IEQ will source, diligence, and recommend Clients to invest directly in third-party alternative investment funds, single assets opportunities or co-invest vehicles (“Direct Investments” in “Private Funds”) when it is determined not practical to form an Access Fund to invest in a specific opportunity, or if there is insufficient allocation to the alternative fund to monetarily justify launching an Access Fund. In addition, in limited circumstances (typically based on an investment size or related to tax status), IEQ will accommodate a Client’s request to invest directly in a Private Fund even though an Access Fund is also being formed. Thus, such Clients will receive the benefit of the due diligence, legal review and negotiation performed on behalf of, and paid by, the investors in the applicable Access Fund. Conversely, there could be some unique benefits that will be negotiated on behalf of an Access Fund which are not extended to direct investors in the Private Fund (e.g., indemnification).

In instances where underlying fund fee savings is associated with co-invest capability and such capability is extended to direct investors, relevant direct investors will be “in the money” instantaneously as for every dollar committed to a main fund, a dollar will be contributed to the co-invest vehicle. Access Funds, on the other hand, typically only commit money to a co-invest vehicle after the required allocation to the main fund is filled. At other times, however, depending on the underlying fund’s policies, “fee savings” co-investment opportunities will not be extended to direct investors. IEQ will, from time to time, provide a sample of internal investment due diligence memoranda to Clients or prospective clients for certain funds, if so requested. These reports are provided to highlight IEQ’s research approach and are redacted to exclude certain confidential and performance-related information. Clients are encouraged to ask their representatives for such reports. Digital Assets Clients interested in receiving exposure to, and IEQ’s portfolio management diversification advice with respect to, Digital Assets will need to establish a Digital Asset account through Fidelity Digital Asset Services, LLC (“FDAS”) and transfer funds into such FDAS account. IEQ will assist such interested Clients with establishing a digital currency account through the FDAS platform. “Digital Asset” shall mean a digital asset (also called a “cryptocurrency,” “virtual currency,” “digital currency,” or “digital commodity”), such as Bitcoin or Ethereum, which is based on the cryptographic protocol of a computer network that may be (i) centralized or decentralized, (ii) closed or open-source, and (iii) used as a medium of exchange and/or store of value. The term “Digital Asset” does not include products with indirect exposure to Digital Assets, including baskets of Securities (e.g., ETFs that include Digital Asset company securities). Retirement Plan Services IEQ engages with retirement plan Clients in a wide range of capacities. For plans subject to the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), this could include serving as an ERISA Section 3(21) fiduciary providing investment recommendations to the plan sponsor and/or plan trustee, or as an ERISA Section 3(38) “investment manager” with discretionary authority to make investment decisions on behalf of the plan. In addition to allocating plan assets and portfolio management, these services can include assistance in setting up an Investment Policy Statement for the portfolio, managing cash and liquidity needs, selecting professional record‐keepers, administrators and custodians, and providing in depth quarterly or annual review with the portfolio’s performance and our outlook on financial market conditions. In addition, IEQ has adopted policies and procedures designed to comply with the ERISA fiduciary standards when advising retirement asset rollovers as set forth in the Department of Labor Fiduciary Rule (“DOL PTE Rule”). Clients will be presented with disclosure documents as prescribed by the DOL PTE Rule. Donor Advised Fund Services Some IEQ Clients establish donor advised funds through various third-party charitable programs including the Fidelity Charitable Gift Fund Program and the Schwab Charitable Fund (each, a “Charitable Platform”). The funds are managed in accordance with the specific investment policies and guidelines of the applicable Charitable Platform. Clients will establish a donor advised account, transfer funds earmarked for charitable donation and recognize a tax deduction in the year that funds are transferred into an account opened on a Charitable Platform. The funds remain in such account until the Client designates a charity, an amount and a date to donate to such charity. Ancillary Services In providing the Ancillary Services described below, IEQ is not providing investment advice, and has no fiduciary obligations and no obligations to independently verify, examine, confirm or revise information regarding any assets outside of the Client Accounts that are owned by a Client but not included as assets under management by IEQ (any such assets, “Non- Advisory Assets”), whether such information is received from the Client or any of the Client’s third-party service providers. In providing Advisory Services to a Client, IEQ has no obligation, and should not be expected, to take into account any information regarding Non- Advisory Assets, or otherwise received in the course of or in connection with providing any Ancillary Services, including but not limited to the diversification of a Client’s assets in the aggregate. While IEQ is permitted to consider any Non-Advisory Assets in connection with the determination of an appropriate asset allocation or investment strategy for a Client’s Accounts, and indeed does so with respect to many Clients, such consideration does not extend the advisory relationship to any such Non-Advisory Assets. Reporting and other Ancillary Services on Non-Advisory Assets As a service to certain Clients, IEQ offers consolidated reporting, monitoring, and other ancillary services with respect to Client Non-Advisory Assets. IEQ will report the value of each Non-Advisory Asset to the Client, based solely on the valuations received by IEQ from the third-party managers of the Non-Advisory Assets or other third parties, or from the Client, but IEQ will not have any obligation to independently examine, confirm or revise Non- Advisory Asset valuations. The scope of a Client’s Non-Advisory Assets and associated Ancillary Services, and any fees agreed upon by the Client, are memorialized in writing, whether in separate section(s) of that Client’s IMA or in a separate agreement between the Client and IEQ. “Family-Office” Services IEQ assists certain Clients in addressing their wealth management needs with various family office services. To this end, IEQ has launched the IEQ Family Office. IEQ Family Office supports certain clients with select non-investment management services as mutually agreed to by the client and IEQ from time to time. Certain ancillary services will be provided directly by IEQ (e.g., global asset analysis and optimization, consolidated reporting and asset tracking, cash flow analysis and liquidity management, investment tax strategy, wealth transfer and estate planning analysis and support, charitable giving support, and family dynamics support). With respect to providing family office services, IEQ does not provide legal, tax, accounting, or investment advice. Other services are available from independent professional firms (e.g., tax advisory, trust and estate planning, bill pay etc.). IEQ can help identify, interview, onboard, and integrate these third-party professionals into the Client’s team. While IEQ maintains a list of certain such third-party service providers with which IEQ, its personnel, and/or its Clients have interacted, or otherwise fit certain selection criteria (e.g., size and geographical area) and whose contact information IEQ provides to Clients to as a courtesy, IEQ is not endorsing any such independent service provider, and IEQ has no oversight or supervision of, and does not guarantee the performance of, any independent service provider. IEQ does not charge additional fees in connection with family office services provided by IEQ, and neither IEQ nor its employees charge fees or earn any direct compensation in connection any recommendation to retain a third-party provider. Although an independent professional firm might decide to refer prospective clients to IEQ on its own accord, IEQ does not solicit such referrals. Any mutual referral arrangement, whether part of family office services or otherwise, will be made in accordance with the Marketing Rule (as defined below). Eligibility and level of participation in this program is largely dependent on a Client’s RAUM or the annual sum of IEQ’s management fee. A Client who wishes to learn more information about this program is strongly encouraged to reach out to his/her service team. In addition to the formal family office services program, IEQ may, from time to time upon a Client’s request, introduce certain Clients to service providers with which IEQ conducts business with (e.g., an administrator, a lender). While IEQ does not receive any monetary compensation as a result of such introductions, it does have a conflict of interest in making them as the introduction enhances IEQ’s relationships with such third parties. Assets Under Management (Regulatory Assets Under Management) As of December 31, 2023, IEQ has total regulatory assets under management of $23,584,354,606 of which $22,349,886,324 are discretionary and $1,234,468,282 are non- discretionary regulatory assets under management.