EM 4 Who We Are Haven Private, LLC1 (hereinafter referred to as “Haven Private”, “the Company”, “we”, “us” and “our”) is a fee-based2 registered investment advisor3, organized to offer private wealth management services4 designed to assist you, our client5, achieve the financial stability, security, and independence you desire. Owners The following persons control the Company: Name Title CRD# Marc R. Angle Managing Member of Elevate IV, LLC, owner of Haven Private, LLC. Serving as a Member & Chief Executive Officer of Haven Private, LLC. 5713710 Stacey L. Cole Managing Member of Elevate IV, LLC, owner of Haven Private, LLC. Serving as a Member & Chief Compliance Officer of Haven Private, LLC. 7223460 Johnny M. Gibson Managing Member of Elevate IV, LLC, owner of Haven Private, LLC. Serving as a Member & Chief Investment Officer of Haven Private, LLC. 4054687 Paul (Judd) Hershiser Managing Member of OLH Capital, LLC, minor owner of Haven Private, LLC. Serving as a Member & Chief Operations Officer of Haven Private, LLC. 2311230 Our Mission Our mission is to provide customized advice and personalized services to you and your family. We want to be that trusted confidant you reach for, to come alongside and guide you with your financial and investment decisions as you pursue a better lifestyle focused on addressing today’s needs, while building tomorrow’s dreams, and preparing the foundation for a sound retirement and lasting legacy for future generations. 1 Haven Private, beginning in March of 2022, became the d/b/a name for AlphaQ Advisors, LLC that was organized in May of 2006. Haven Private was spun-off from AlphaQ as a separate Limited Liability Company in 2023, to establish Haven Private as a separate advisory firm. 2 As a “fee-based” investment advisor, the compensation we receive can include sales commissions in addition to the compensation paid by you, our client, for the portfolio management services we provide. See Item 10, “Other Financial Industry Activities & Affiliations” for disclosure on these services. 3 The term “registered investment advisor” is not intended to imply that Haven Private, LLC has attained a certain level of skill or training. It is used strictly to reference the fact that Haven Private, LLC is “Registered” as an “Investment Advisor” with the United States Securities & Exchange Commission and “Notice Filed” with such other state regulatory agencies that may have limited regulatory jurisdiction over our business practices. 4 Haven Private, LLC is a fiduciary, as defined within the meaning of Title I of the Employer Retirement Income Security Act of 1974 (“ERISA”) and/or as defined under the Internal Revenue Code of 1986 (the “Code”) for any private wealth management services provided to a client who is: (i) a plan participant or beneficiary of a retirement plan subject to ERISA or as described under the Code; or (ii) the beneficial owner of an Individual Retirement Account (“IRA”). 5 A client could be an individual and their family members, a family office, a foundation or endowment, a charitable organization, a corporation and/or small business, a trust, a guardianship, an estate, a retirement plan, or any other type of entity to which we choose to give investment advice. We will do our best to keep you focused on where you want to go, offer advice on how best to get there, and continually remind you of the importance of maintaining a disciplined investment approach to achieve your financial goals. Assets Under Management As of May 12, 2024, our assets under management totaled: Discretionary Accounts ....................................................... $319,740,017 We do not offer non-discretionary asset management services. What We Do We provide private wealth management solutions designed to help you maximize wealth, maintain investment expectations, and manage risk. We will guide you and your family through your respective wealth journey, assisting you to manage your family balance sheet6 with fiscally responsible decisions and disciplined economic choices. Regardless of where you are in your wealth journey, focus of private wealth management begins with identifying your standards of living and quality of lifestyle expectations. We will accomplish this through an initial Discovery Meeting where we will review the financial information we requested for discussion. Together, questions will be asked, information shared, and an evaluation made as to whether we should move to the next step. During the meeting, we will: v Learn about your core values and guiding principles. v Seek to understand your financial concerns and how you have been addressing them. v Discover your financial objectives and what success looks like for you. v Create an internal profile consisting of your current income and expenses, assets, career objectives, investment goals, risk tolerance and investment time horizon, targeted rate of return, and prior investment experience, along with personal information about your relationships, your values, and interests. Moving forward from the Discovery Meeting, should you engage us for our wealth management services, we will begin defining your objectives, goals, and expectations to guide us in the development of, at minimum, an Investment Policy Statement (“IPS”) that defines your investment parameters and what asset mix is most suitable for your unique investment expectations and risk tolerance. Our services include: Portfolio Management We will create and manage a diversified portfolio, allocating your assets among various investments considering your stated investment objectives. Our management strategies are not limited to any specific product or service; however, the majority of our portfolio allocations will utilize a mix of equity (“stock”) positions, Investment Company (“mutual fund”) products, Exchange-Traded Funds (“ETFs”), fixed-income/debt (“bond”) instruments, real estate funds that include Real Estate Investment Trusts (“REITs”), and cash/cash equivalent securities to meet your investment objectives7. Information regarding our 6 We define the balance sheet as the assets we manage as well as assets that might be managed elsewhere, such as: business ventures and associated real estate; personal assets such as collections; titling of these assets; charitable and philanthropic ventures; and the human capital including educating subsequent generations of the family on financial matters. 7 You may, at any time, impose restrictions in writing on the securities we may recommend (i.e., limit the types/amounts of particular securities purchased for your account, etc.). management fee structure is disclosed under “Portfolio Management Fee” in Item 5, “Fees & Compensation” and further description of our investment strategies under Item 8, “Methods of Analysis, Investment Strategies & Risk of Loss.” Portfolio Monitoring As part of our wealth management services, we may recommend you use separate, independent sub-advisors or third-party money managers (“Independent Managers”) to manage all or a portion of your investment portfolio. The Independent Managers we introduce have developed a defined management process and strategy for their investment portfolios. We are not involved in the day-to-day buy/sell decision for your assets managed by these Independent Managers. If your investment parameters and/or goals change or the Independent Manager you have selected is not performing to expectations, we can recommend changing the Independent Manager but may not be able to dictate changes to their investment strategy. The Independent Manager we recommend manage your portfolio will implement an investment strategy that correlates best with your Investment Policy Statement (“IPS”). Our responsibility to both you and the Independent Manager, we direct to manage your account, will be to: v Recommend only Independent Managers whose investment strategies fit your management criteria and risk tolerance level while ensuring you meet the minimum requirements of the Independent Manager to open a managed account. v Evaluate the Independent Manager’s investment returns and performance to ensure they are a fit with risk objections. v Suggest changes to a Independent Manager, if necessary, as market factors and your personal goals dictate. v Handle all administrative and clerical duties as may be required by the Independent Manager to service your account since they will have little or no direct contact with you. Information regarding the portfolio monitoring fee structure is disclosed under “Portfolio Monitoring Fee” in Item 5, “Fees & Compensation.” General Consulting The consulting services we offer are independent of our portfolio management and portfolio monitoring services. Under this arrangement, we do not provide any on-going management of your account or give continuous investment advice. We will perform the desired task, but you are responsible for implementing any of the advice if you have not engaged us separately for that service. Consulting services can include the following: v General and/or specific advice on non-managed investments such as private placements and independent hedge fund offering. v Real Estate Investments opportunities. v Independent retirement plan benchmarking and cost analysis. v Preparing consolidated reports from multiple sources (i.e., brokerage, IRA, variable annuity accounts, managed accounts, etc.) into a single quarterly performance report for your review and consideration. v General and/or specific life insurance or annuity contract review and recommendations. For information on our fees for consulting services, see “General Consulting Fee” under Item 5, “Fees & Compensation.” FEES & COMPENSATION 5 Discovery Meeting The Discovery Meeting has no cost or obligation. This meeting provides the opportunity for both parties to get to know each other and for us to share in greater detail how we can address your monetary objectives: v Diagnose your current family financial need. v Address your financial concerns and answer your questions on how we can assist you. v Discuss private banking for credit and lending, liquidity, and money movement needs and how we can facilitate their services when necessary while providing reporting capabilities and oversight of the transactions. v Recommend financial resolutions to lower costs, reduce risks, increase expected returns, and/or increase tax efficiency to improve the likelihood of successfully achieving your goals. v Explain our investment methodology and how our investment strategies work; and, v Explain the benefits of wealth planning8 and how an evaluation of your wealth management needs is beneficial beyond just managing your investable assets. From the Discovery Meeting, our objective will be to move forward under an advisory contract to manage your portfolio assets. We will prepare the necessary agreements to perform the desired service. If, however, you do not wish to engage us for our wealth management services, you will be responsible for implementing any recommendations coming out of the Discovery

Meeting. All wealth management solutions discussed will have been concluded and we are not responsible to implement the advice or for any on-going supervision, monitoring, and/or reporting. Portfolio Management Fee Portfolio management is provided on an asset-based fee9 arrangement. The management fee will be calculated based on the average daily balance10 of your account(s) for each day in the previous calendar quarter your account was managed multiplied by one-fourth of the corresponding annual percentage rate for each portion of your portfolio assets that fall within each tier (See “Billing” below under “Protocols for Portfolio Management” for formula calculation.). 8 We do not charge a fee for wealth planning; it is a complementary service available to all clients. At our discretion, based on your unique financial need, we will prepare at minimum a limited-scope financial plan. 9 An asset-based fee is a percentage fee charged based on your assets under management for our professional time giving continuous advice, managing investment strategies, and suggesting investment options. We receive no other compensation for this advisory service unless first disclosed to you. 10 The average daily balance is calculated first by determining the maximum number of days from which to retrieve prices and then accumulates the values of your account on each day of the calendar quarter. This accumulation is then divided by either the total number of days the account balance was not zero or the total number of days in the quarter your account was managed. The tier breaks are as follows: Portfolio Value Annual Fee Rate Not to Exceed First $2,000,000 ........................................ 1.25% Next $3,000,000 ........................................ 0.90% Next $5,000,000 ........................................ 0.60% Next $15,000,000 ....................................... 0.50% Next $25,000,000 ....................................... 0.45% Over $50,000,000 ...................................... Negotiable Our management fee will be fully disclosed to you in an advisory agreement prior to conducting any portfolio management services. We retain discretion to negotiate the management fee within each tier on a client-by-client basis depending on the size, complexity, and nature of the portfolio managed. In addition, for the portion of your portfolio that exceeds into the next tier level, either through additional deposits or asset growth, a fee break will occur. At our discretion, we may combine the account values of family members, business associates, or other combinations we deem appropriate to determine the applicable advisory fee. Combining account values may increase the asset total, which may result in you paying a reduced advisory fee based on the available breakpoints in our fee schedule stated above. We do not require a minimum account size to open a portfolio management account. Protocols for Portfolio Management Services The following protocols establish how we handle our portfolio management accounts and what you should expect when it comes to: (i) managing your account; (ii) your bill for investment services; and (iii) other fees charged to your account(s). Discretion We will establish discretionary trading authority on all management accounts to execute securities transactions at any time without your prior consent or advice. You may, however, at any time, impose restrictions, in writing, on our discretionary authority (i.e., limit the types/amounts of particular securities purchased for your account, exclude the ability to purchase securities with an inverse relationship to the market, limit our use of margin or leverage, etc.) Billing Your account will be billed quarterly, in arrears, a blended fee based on the fair market value for the portion of your portfolio (including cash and cash equivalent securities) that fall within each tier of our fee schedule. For example: Account Value: $14,500,000 Annual Fee % (Per Tier) Tier Fee Contribution (Based on the Account Value Within Each Tier) First $2,000,000 1.25% 0.0017% Next $3,000,000 0.90% 0.0019% Next $5,000,000 0.60% 0.0020% Next $4,500,000 0.50% 0.0016% Blended Annual Fee % 0.72% For new management accounts opened in mid-quarter, our fee will be based upon a pro- rated calculation of your assets managed for the calendar quarter just ending. Advisory fees will be deducted first from any money market funds or cash balances. If such assets are insufficient to satisfy payment of such fees, a portion of the account assets will be liquidated to cover the fees. Management Fee Exclusions Custodial Fees The above fees for our portfolio management are exclusive of any charges imposed by the custodial firm(s) who has custody of your account; including, but not limited to: (i) any Exchange/SEC fees; (ii) certain transfer taxes; (iii) service or account charges, such as, postage/handling fees, electronic fund and wire transfer fees, auction fees, debit balances, margin interest, certain odd-lot differentials and mutual fund short-term redemption fees; and (iv) brokerage and execution costs associated with securities held in your managed account. There can also be other fees charged to your account that are unaffiliated with our management services. There can be no assurance that Charles Schwab & Co., Inc. (“Schwab”) will not change its transaction fee pricing in the future. These fees/charges are in addition to our investment advisory fee. We do not receive any portion of Schwab fees/charges. Investment Company Fees All fees paid to us for portfolio management services are separate from any fees and expenses charged on mutual fund shares by the investment company or by the investment advisor managing the mutual fund portfolios. These expenses, which we do not share in, generally include management fees and various fund expenses, such as 12b- 1 fees. Redemption fees, account fees, purchase fees, contingent deferred sales charges and other sales load charges may occur but are the exception within managed accounts at institutional custodians. A complete explanation of these expenses charged by the mutual funds is contained in each mutual fund’s prospectus. You are encouraged to carefully read the fund prospectus. For more information on the custodial firms, we recommend to custody your portfolio accounts, see Item 12, “Brokerage Practices”. Termination of Portfolio Management Service To terminate our portfolio management service, either party (you or us) may terminate the advisory agreement at any time by written notification to the other party, provided such written notification is received at least 5 days before the termination date. Such written notice should include the termination date and any final instructions on the account (i.e., liquidate the account, finalize all transactions, and/or cease all investment activity). In the event termination does not fall on the first/last day of a calendar quarter, we shall bill your account a pro-rated management fee based upon the number of days during the quarter we managed your portfolio account from when the termination notice goes into effect. The final invoice will be billed immediately upon receipt of your notice of termination. Once we implement the termination of portfolio management services, neither party has any obligation to the other – we no longer earn management fees or give investment advice, and you become responsible for making investment decisions. Portfolio Monitoring Fee The Independent Managers who will be used to manage your account(s) will disclose the fees for management services in their Disclosure Brochures (the Independent Manager’s ADV Part 2A: Firm Brochure), which we will provide you prior to, or at the same time as, opening an account. The total fees to be charged to your account will include: 1. Our portfolio monitoring fee, based upon the above fee schedule disclosed above under “Portfolio Management Fee.” 2. The Independent Manager’s management fee, payable pursuant the fee schedule established by the Independent Manager to whom you are referred. These fees may or may not be negotiable. 3. Trading commissions and/or account charges, which may be imposed by the custodian or broker/dealer used to custody your account(s). The total fees billed to your account using both the Independent Manager to manage your portfolio and us to monitor your portfolio, could cause the overall fees billed to your account to be higher than if you didn’t use a separate Independent Manager to manage your account. You are encouraged to read our Disclosure Brochure and the Independent Manager’s Disclosure Brochure to understand the fees you will pay before agreeing to use a separate Independent Manager. Our Responsibilities Relating to Portfolio Monitoring The Independent Manager we select together will implement their investment strategy for the portion of your managed assets we have designated for them to manage. Under this arrangement: v Our responsibility to you will be to continuously evaluate the performance of your portfolio to confirm the Independent Manager adheres to your asset allocation guidelines and will make recommendations to you regarding the Independent Manager as market factors and your personal goals dictate. We will provide all administrative and clerical duties as may be required to service your account. The Independent Manager may have little or no direct contact with you. We are not involved in the day-to-day buy/sell decision for your assets managed by these Independent Managers v Our responsibility to the Independent Manager will be to ensure you meet their minimum qualifications and that you have been given proper disclosure. The Independent Manager we choose together to manage your portfolio account(s) will include all pertinent disclosures in their Disclosure Brochures (Form ADV Part 2A: Firm Brochure) relating to their management services, which we will provide you, if required and necessary, prior to, or at the time, we open the account. You are encouraged to carefully review these disclosures. Portfolio Monitoring Protocols You will want to consult the Independent Manager’s Disclosure Brochure for their policies on how they will handle your account, such as: billing, deposits and withdrawals, fee exclusions, termination, and any other unique advisory costs associated with their service since we do not handle any account administration. We will discuss these arrangements with you when we go to open your account with an Independent Manager; however, you are encouraged to read their terms for management on your own. General Consulting Fee Our general consulting fee is a negotiable hourly rate not to exceed $500 per hour for our service. All consulting fees will be completely itemized in a billing statement at the completion of the requested service. General consulting services can be terminated at any time. PERFORMANCE-BASED FEES & SIDE-BY-SIDE MANAGEMENT IT EM 6 We do not charge fees based on a share of capital gains or the capital appreciation of the assets held in your accounts.