Page 4 A. Eastgate Capital Advisors LLC Eastgate Capital Advisors LLC (“Eastgate”) is organized as an Illinois limited liability company. Eastgate was founded in 2010, began operations as an investment advisor in 2015, and is owned by John D. O’Malley, Jr., the firm’s Managing Member. B. Advisory Services Offered Eastgate is a holistic financial advisory practice encompassing Financial Advisory, Financial Planning, and Family Office Services. Financial advisory services (“Financial Advisory Services”) clients will receive both Financial Advisory Services and financial planning services (“Financial Planning Services”) as a comprehensive financial plan service. Financial Planning Services are offered either as part of the comprehensive financial plan service or, for those clients which are not Financial Advisory Clients, on a time and materials basis. Family office services (“Family Office Services”) are offered on an individually negotiated basis, based upon the scope of services desired. In each instance, the scope of services and fees therefore will be detailed in a scope of services agreement. See Item 5 below for further information. B.1. Financial Advisory Services
• Asset Allocation - Preparation of a recommended asset allocation that serves to diversify the client's portfolio among different categories of investments, which may include small, medium, and large capitalization securities; corporate and government fixed income (short-, intermediate-, and long-term maturities); emerging market securities (i.e., foreign issuers); and such other asset categories that are suitable in light of the client's investment goals, objectives, and risk tolerance.
• Separate Account Manager Selection and Monitoring - Recommendation of separate account managers, each matched to the asset categories in the client's targeted asset allocation for consideration by the client.
• Discretionary Asset Management - Eastgate’s engagement with a client will include, as appropriate, the following:
• Provide assistance in reviewing the client's current investment portfolio against the client's personal and financial circumstances as disclosed to Eastgate in discussions with the client, reviewed in meetings with Eastgate or as provided to Eastgate by client responses to a questionnaire.
• Analyze the client's financial circumstances, investment holdings and strategy, and goals.
• Provide assistance in identifying a targeted asset allocation and portfolio design.
• Implement and/or recommend individual equity and fixed income securities, mutual funds and ETFs or recommending a separate account manager to manage all or a portion of the client’s investment or recommending a separate account manager to manage all or a portion of the client’s investment portfolio.
• Report to the client on a quarterly basis or at some other interval agreed upon with the client, information on contributions and withdrawals in the client's investment portfolio, and the performance of the client's portfolio measured against appropriate benchmarks (including benchmarks selected by the client).
• Propose changes in the client's investment portfolio in consideration of changes in the client's personal circumstances, investment objectives and tolerance for risk, the performance record of any of the client's investments, and/or the performance of any fund retained by the client.
• If the client’s portfolio and personal circumstances, investment objectives, and tolerance for risk make such advice appropriate, provide recommendations to hedge a client’s portfolio through the use of derivative strategies, to generate additional income through the use of covered call option writing strategies involving exchange listed or OTC options, and/or to monetize or hedge concentrated stock positions.
• Eastgate’s discretionary asset management services are predicated on the client's investment objectives, goals, tolerance for risk, and other personal and financial circumstances. Eastgate will analyze each client's current investments, investment objectives, goals, age, time horizon, financial circumstances, investment experience, investment restrictions and limitations, and risk tolerance and implement a portfolio consistent with such investment objectives, goals, risk tolerance and related financial circumstances. Eastgate’s objective is to review the client’s tax, financial, and estate planning objectives and goals in connection with the client’s investment objectives, goals, tolerance for risk, and other personal and financial circumstances and make appropriate recommendations and implementation decisions. Eastgate may engage thirdparty service providers to assist with the tax and estate planning portion of the services provided to clients. In addition, Eastgate may utilize third-party software to analyze

individual security holdings, separate account managers and sub-advisors within the client’s portfolio.
• In addition to providing Eastgate with information regarding their personal financial circumstances, investment objectives and tolerance for risk, clients are required to provide the firm with any reasonable investment restrictions that should be imposed on the management of their portfolio, and to promptly notify the firm of any changes in such restrictions or in the client's personal financial circumstances, investment objectives, goals and tolerance for risk. On a quarterly basis, Eastgate’s reports to clients will remind clients of their obligation to inform the firm of any such changes or any restrictions that should be imposed on the management of the client’s account. Eastgate will also contact clients at least annually to determine whether there have been any changes in a client's personal financial circumstances, investment objectives and tolerance for risk. B.2. Financial Planning Services Clients will receive a written report providing a basic financial plan designed to help achieve their stated financial goals and objectives. Based on the client’s needs and preferences, financial planning services may include (but are not limited to) the following:
• Goals-Based Financial Planning - Preparation of a goals based financial plan that serves to identify whether the client is saving enough and investing in a way that meets the various financial goals and objectives in light of the client's financial circumstances and risk tolerance. Such plan would include the following factors:
• Identification of financial goals
• Analysis of portfolio holdings and sufficiency of assets & savings rates to achieve those goals
• Preparation of written report with suggestions for revisions to achieve or revise goals, portfolio etc.
• Retirement Planning - Preparation of a retirement plan that serves to identify whether the client is saving enough and investing in a way that meets retirement objectives in light of the client's financial circumstances and risk tolerance. Such plan would include the following factors:
• Analysis of assets, Analysis of financial needs in retirement
• Comparison of assets, savings rates, goals
• Analysis of portfolio holdings and sufficiency of assets & savings rates to achieve those goals
• Preparation of written report with suggestions for revisions to achieve or revise goals, portfolio etc.
• College Planning - Preparation of a college funding plan that serves to identify whether the client is saving enough and investing in a way that meets the clients’ education funding objectives in light of the client's financial circumstances and risk tolerance. Such plan would include the following factors:
• Analysis of college planning for clients or client’s dependents, beneficiaries
• Identification of savings, college costs, consideration of financing alternatives
• Analysis of portfolio holdings and sufficiency of assets & savings rates to achieve those college funding goals
• Preparation of written report with suggestions for revisions to achieve or revise goals, portfolio etc. B.3. Family Office Services Family Office Services will be based on time, level of professional engaged, costs of the service provider, as agreed in advance by the client and Eastgate. Such services may include one or more of the following services:
• General Counsel Services
• Estate Planning and Administration
• Accounting / Bookkeeping
• Tax Compliance
• Bill Payment
• Medical Invoice Reconciliation
• Custom Family Education Programs Family Office services may be delivered to the client either by John D. O’Malley, Jr. (Managing Director, sole member of Eastgate and acting as an attorney), Eastgate staff, or through a contractor of either Eastgate’s or the client’s choosing. In each instance, the services will be made available through a separately negotiated arrangement with the client as determined in advance of the service being rendered. C. Client-Tailored Services and Client-Imposed Restrictions Each client’s account will be managed on the basis of the client’s financial situation and investment objectives and in accordance with any reasonable restrictions imposed by the client on the management of the account—for example, restricting the type or amount of security to be purchased in the portfolio. D. Wrap Fee Programs Eastgate does not offer or participate in wrap fee programs. (Wrap fee programs offer services for one all-inclusive fee.) E. Client Assets Under Management As of December 31, 2023, Eastgate had $112,737,877 of discretionary and $19,775,854 of nondiscretionary assets under management. Item 5: Fees and Compensation