Firm Description R.W. Rogé & Company Inc. was founded in Year 1986. R.W. Rogé & Company Inc. (RWR) is a Fee - Only wealth management firm registered as an Investment Advisor with The United States Securities and Exchange Commission. Our Securities and Exchange Registration Number is 811-21571. Registration with the SEC and other state securities authorities as a registered investment adviser does not imply a certain level of skill or training. RWR offers its services to individuals, small businesses, corporations, investment companies, charitable organizations, pension and profit sharing plans, trusts, estates, endowments and foundations. Principal Owners Steven M. Rogé is a 100 % stockholder. Types of Advisory Services SERVICES OFFERED Plan. Achieve. Live.® (PAL) is RWR’s premier private client service, providing high-net- worth clients with professional portfolio management and financial planning. This service helps clients plan, achieve and live their lifestyle goals. We accomplish this by planning, implementing, monitoring and managing their assets. WealthBridge®Strategy (WBS) is a service designed for Clients who desire to achieve their long-term goals and who have the discipline and desire to save on a regular basis so that eventually they will qualify for our premier service (Plan. Achieve. Live.®). StrategicAccess® Portfolios (SA) is a portfolio development and management service that is designed for use by foundations, endowments, pension plans, investment companies, institutions and individuals who want the expertise and experience of an investment advisor who can listen to their needs and create an investment policy statement which addresses those needs. We implement, manage and monitor performance, net of all fees. This service excludes the personal planning services offered to our Plan. Achieve. Live.® Clients. WealthConnection® 401(k) is an investment advisory service for business owners and trustees of 401(k) plans who want the expertise and experience of an investment advisor who can complete sound due diligence on fund selection, create a menu of options and risk adjusted allocation models in order to ensure peace of mind and reduce fiduciary liability. Retirement Rollovers-No Obligation/Conflict of Interest: A client leaving an employer typically has four options (and may engage in a combination of these options): 1) leave the money in his former employer’s plan, if permitted, 2) roll over the assets to his/her new employer’s plan, if one is available and rollovers are permitted, 3) rollover to an Individual Retirement Account (IRA), or 4) cash out the account value (which could, depending upon the client’s age, result in adverse tax consequences). RWR may recommend an investor roll over plan assets to an IRA managed by RWR. As a result, RWR may earn an asset-based fee; however, a recommendation that a client or prospective client leave their plan assets with their old employer will result in no compensation. RWR has an economic incentive to encourage an investor to roll plan assets into an IRA that RWR will manage. There are various factors that RWR may consider before recommending a rollover, including but not limited to: i) the investment options available in the plan versus the investment options available in an IRA, ii) fees and expenses in the plan versus the fees and expenses in an IRA, iii) the services and responsiveness of the plan’s investment professionals versus those of RWR, iv) required minimum distributions and age considerations, and vi) employer stock tax consequences, if any. No client is under any obligation to roll over plan assets to an IRA managed by RWR. When we provide investment advice to you regarding your retirement plan account or individual retirement account, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts. The way we make money creates some conflicts with your interests, so we operate under a special rule that requires us to act in your best interest and not put our interests ahead of yours. Under this special rule’s provisions, we must:
• Meet a professional standard of care when making investment recommendations (give prudent advice);
• Never put our financial interests ahead of yours when making recommendations (give loyal advice);
• Avoid misleading statements about conflicts of interest, fees, and investments;
• Follow policies and procedures designed to ensure that we give advice that is in your best interest;
• Charge no more than is reasonable for our services; and
• Give you basic information about conflicts of interest. Types of Agreements The following agreements define the typical client relationships. 1. Plan. Achieve. Live.® (PAL) planning services include the following areas of focus (depending on client needs): A Comprehensive Financial Plan includes: a. Development of personal goals and objectives b. Net worth analysis c. Cash flow (income and expense) analysis d. Insurance review e. College education planning f. Family documentation g. Estate planning h. Tax planning i. Asset allocation & investment plan j. Liability Insurance review k. Recommendations l. Implementation of plan During the preparation of the Plan, RWR must collect certain relevant information, and it is the Client’s responsibility to furnish such information in a timely manner. RWR does not provide legal or accounting advice so, if during the preparation of Client's Plan, it becomes necessary for RWR to consult with an attorney or accountant for information, it will be Client's responsibility to help make such arrangements, and pay any fees charged by said attorney or accountant. All information provided to RWR by Client or the Client's attorney or accountant, will be kept strictly confidential and will not be disclosed to anyone without the Client's consent. RWR does not possess any privilege of confidentiality under the law. The Plan will be formulated and prepared specifically for the Client, to reflect each Client's personal financial objectives. The Plan will be based on RWR's conversations with each Client, answers to specific questions posed by RWR, and individual needs or wishes expressed to RWR, etc. The Plan will be delivered to the Client in a timely fashion, after accounts are established with the Custodian and are fully funded with the proceeds used to develop the Plan. It is the Clients responsibility to cooperate in the establishment of the accounts and their funding. If, upon delivery of the Plan, Client feels that certain additional or alternative information, not previously supplied to RWR, should be included and/or considered in the Plan, RWR’s agreement allows each Client to request up to two alternative scenarios to reflect that information. In addition, Plans are reviewed annually and Plan updates are offered to the Client when life changing circumstances warrant an update. The Investment Section of the Plan will contain the recommended asset allocation and will specify the types of investment securities. RWR will not proceed to implement portfolio until Client approves the Plan. However, billing for the RWR's on-going Plan. Achieve. Live® Experience services will take place with or without plan approval. Only termination of services will stop the billing process. The suggested minimum portfolio for this service is $1 million. 2. WealthBridge® Strategy Risk Adjusted Model Portfolios (WBS) service includes the following services (depending on client needs): a. Assist Client to determine their level of investment risk b. Design a goals-based investment strategy c. Open custodial account(s) at a selected Broker/Dealer where the account will be managed and arrange automatic savings program d. Create and manage a risk-adjusted portfolio base on the Client’s risk tolerance e. Make any future changes to the risk-adjusted portfolio that RWR considers appropriate and adjust investment positions base on those changes. RWR will rebalance the portfolio when necessary f. Review and recommend asset allocation and mutual fund recommendations for company-sponsored savings plans at onset of engagement (i.e. 401k, 403b, etc.) g. Performance reporting provided by custodian h. Year-end gains and losses report provided by custodian i. Provide The Rogé Report – educational newsletter j. Provide a Financial and Estate Planning Organizer k. Furnish a resource list of financial service providers The suggested minimum portfolio for this service is $100,000. 3. StrategicAccess® (SA) is a portfolio development

and management service that is designed for use by pension plans, foundations, endowments, institutions and individuals who want the expertise and experience of an investment advisor who can listen to their needs, and create an investment policy statement which addresses those needs. We then implement, monitor, track and report performance, net of all fees to the client. This service excludes the personal planning services offered to our Plan. Achieve. Live.® Clients. The suggested minimum portfolio for this service is $250,000. 4. WealthConnection® 401(k) is an investment advisory service for business owners and trustees of 401(k) plans who want the expertise and experience of an investment advisor who can complete sound due diligence on fund selection, create a menu of options and risk adjusted allocation models in order to ensure peace of mind and reduce fiduciary liability. WealthConnection 401(k) will include the following services: a. Due diligence on fund selection using R.W. Rogé’s proprietary ResearchEdge® Process. b. Furnishing to Client of Investment Policy Statement c. Furnishing to client of investment reports d. Systematized process for monitoring of funds and controlling expenses e. Risk adjusted recommended portfolio models f. Fund selection menu g. Monitoring performance of recommended investments and making changes when warranted The suggested minimum portfolio for this service is $3,000,000. 5. Financial Planning Only A Comprehensive Financial Plan includes: a. Development of personal goals and objectives b. Net worth analysis c. Cash flow (income and expense) analysis d. Insurance analysis e. College education planning f. Family documentation g. Estate planning h. Tax planning i. Asset allocation & investment plan j. Insurance review k. Implementation of plan During the preparation of the Plan, RWR must collect certain relevant information, and it is the Client’s responsibility to furnish such information in a timely manner. RWR does not provide legal or accounting advice so, if during the preparation of Client's Plan, it becomes necessary for RWR to consult with an attorney or accountant for information, it will be Client's responsibility to help make such arrangements, and pay any fees charged by said attorney or accountant. All information provided to RWR by Client or the Client's attorney or accountant, will be kept strictly confidential and will not be disclosed to anyone without the Client's consent. RWR does not possess any privilege of confidentiality under the law. The Plan will be formulated and prepared specifically for the Client, to reflect each Client's personal financial objectives. The Plan will be based on RWR's conversations with each Client, answers to specific questions posed by RWR, and individual needs or wishes expressed to RWR, etc. If, upon delivery of the Plan, Client feels that certain additional or alternative information, not previously supplied to RWR, should be included and/or considered in the Plan, RWR’s agreement allows each Client to request up to two alternative scenarios to reflect that information. In addition, an annual plan update is prepared for the Client. If Client requests more than one annual plan update, a fee of $500 will be charged to the Client’s account. Asset Management The investments made for our PAL and SA Clients are in the areas of equity and fixed income mutual funds (both open and closed-end), individual common stocks, exchange traded funds, individual bonds, target term trusts, and money market funds. We may also purchase individual common stocks, preferred stocks, corporate convertible bonds, government and municipal bonds, certificates of deposit and commercial paper. On occasion, we may also write covered call options and/or purchase warrants. WBS Clients’ portfolios are primarily in mutual funds (both open and closed end funds), Exchange Traded Funds (ETF’s) and money market funds. This is being done for the sole purpose of efficiency and making a lower cost strategy (The WealthBridge® Strategy) available to certain Clients who would not otherwise qualify for RWR’s Plan. Achieve. Live® service. RWR has full discretionary authority to manage the Client’s portfolio based on RWR’s investment plan, Client’s tolerance for risk, recommended securities and current economic outlook. Therefore, RWR will not sell or recommend the sale of any security holding not recommended by RWR, or any security recommended or not, that the Client has placed limitations upon. RWR recommends placing these securities in a non- advisory account so that the performance of such security will not affect the performance of the accounts managed by RWR. As of December 31, 2022, RWR has approximately $273.3 million of discretionary assets under management and $15.1 million of non-discretionary assets under management. Termination of Agreement 1. Plan. Achieve. Live.® and StrategicAccess® Either party may terminate Agreement at any time by giving written notice to the other party. If cancelled within five (5) business days from the date of the Agreement, RWR will reimburse the Client in full for all deposits or fees already paid by the Client to RWR relating to the contract agreement. No further payments will be owed by the Client. If termination is given during the planning or account set-up phase, RWR will immediately stop work on the Client's behalf and render a bill based on the rate of $450 per hour, for work already completed. These services may be terminated, without penalty, by either party by giving notice in writing to the other. The official termination date will be the day that the account(s) balance equals zero. In addition, upon termination, a daily pro-rated refund of fees paid in advance on the Client’s portfolio will be made within forty-five (45) days of receipt of a written and signed termination letter to RWR. Upon termination, RWR has the right to liquidate funds and/or securities in the portfolio that RWR deems proprietary without regard to the Client’s tax liabilities that may be incurred upon such liquidation. 2. WealthBridge® Strategy Risk Adjusted Model Portfolios (WBS) Either party may terminate this Agreement at any time by giving written notice to the other party. If this Agreement is cancelled within five (5) business days from the date of the agreement, Advisor will reimburse Client any fees paid in advance, however, the initial set-up fee is not refundable. Client will receive a daily pro-rated refund of fees paid in advance if termination of services occurs after five (5) business days. The official termination date will be the day that the account(s) balance equals zero. In addition, upon termination, a daily pro-rated refund of fees paid in advance on the Client’s portfolio will be made within forty- five (45) days of receipt of a written and signed termination letter to RWR. 3. WealthConnection® 401(k) Client may cancel this Agreement without penalty for a period of five (5) business days after execution by Client by giving written notice of such cancellation to RWR as described above. Client shall be responsible for any transactions executed by RWR prior to its receipt of Client’s written notice of cancellation. Thereafter, either party may terminate this Agreement at any time by giving 30 days written notice to the other party. Upon termination of this Agreement, a daily pro-rated payment of fees will be paid by the Client within thirty days (30) days of receipt of termination to RWR. Termination of this Agreement will not affect (i) the validity of any action previously taken by RWR under this Agreement; (ii) liabilities or obligations of the parties from transactions initiated before termination of this Agreement; or (iii) Client’s obligation to pay RWR fees (pro-rated through the date of termination). Upon the termination of this Agreement, RWR will have no obligation to recommend or take any action with regard to the securities, cash or other investments in the account. 4. Financial Planning Only Client may cancel this Agreement without penalty for a period of five (5) business days after execution by Client by giving written notice of such cancellation to RWR. Client may terminate the preparation of the Plan at any time by giving written notice to RWR upon receipt of Client’s termination notice, RWR will stop all work on the Plan and render a bill, based on the fee rate of $450.00 per hour, to Client for the work already completed. Client agrees that in the event of termination, all previous Plan fee agreements become null and void and the $450.00 per hour fee applies to the final bill. Client agrees to immediately pay this bill upon receipt.