A. Description of the Advisory Firm This firm has been in business since January 5, 2009, and the principal owner is Marc Arthur Bautis. B. Types of Advisory Services Bautis Financial, LLC (hereinafter “BF”) offers the following services to advisory clients: Investment Supervisory Services BF offers ongoing portfolio management services based on the individual goals, objectives, time horizon, and risk tolerance of each client. BF creates an Investment Policy Statement for each client, which outlines the client’s current situation (income, tax levels, and risk tolerance levels) and then constructs a plan (the Investment Policy Statement) to aid in the selection of a portfolio that matches each client’s specific situation. Investment Supervisory Services include, but are not limited to, the following: • Investment strategy • Personal investment policy • Asset allocation • Asset selection • Risk tolerance • Regular portfolio monitoring BF evaluates the current investments of each client with respect to their risk tolerance levels and time horizon. BF will request discretionary authority from clients in order to select securities and execute transactions without permission from the client prior to each transaction. Risk tolerance levels are documented in the Investment Policy Statement, which is given to each client. Financial Planning Financial plans and financial planning may include, but are not limited to:
• Asset and Liability Analysis
• Cash Flow Analysis
• Vision and Goal setting
• Student Loan Analysis and Recommendations
• Education Funding Analysis
• Insurance Needs Analysis
• Tax Planning

Strategies
• Retirement Planning
• Estate Planning
• Implementation of Wealth Center
• Equity Compensation Analysis These services are based on annual fixed fees and the final fee structure is documented in Exhibit II of the Financial Planning Agreement. Services Limited to Specific Types of Investments BF limits its investment advice and/or money management to mutual funds, equities, bonds, fixed income, debt securities, ETFs, hedge funds, third party money managers, REITs, and private placements. BF may use other securities as well to help diversify a portfolio when applicable. C. Client Tailored Services and Client Imposed Restrictions BF offers the same suite of services to all of its clients. However, specific client financial plans and their implementation are dependent upon the client Investment Policy Statement which outlines each client’s current situation (income, tax levels, and risk tolerance levels) and is used to construct a client specific plan to aid in the selection of a portfolio that matches restrictions, needs, and targets. Clients may impose restrictions in investing in certain securities or types of securities in accordance with their values or beliefs. However, if the restrictions prevent BF from properly servicing the client account, or if the restrictions would require BF to deviate from its standard suite of services, BF reserves the right to end the relationship. D. Wrap Fee Programs BF does not participate in any wrap fee programs. E. Amounts Under Management BF has the following assets under management: Discretionary Amounts: Non-discretionary Amounts: Date Calculated: $ 121,970,868 $0 January 2024