Autumn Wind Asset Management Inc. (“Autumn Wind”) is a Registered Investment Adviser (“Adviser”), which offers investment advice, portfolio and asset management clients. We are registered through and regulated by the United States Securities and Exchange Commission (“SEC”). We provide investment advice through investment adviser representatives (“advisor”) associated with us. These individuals are appropriately licensed, qualified, and authorized to provide advisory services on our behalf. In addition, all advisors are required to have experience commensurate with providing asset and portfolio management and/or providing investment advisory services. Autumn Wind Asset Management was founded in 2000 by Thomas Neal Falkenberry who serves as a President and Chief Investment Officer. We provide portfolio management services to high net worth individuals, trusts, estates, charitable organizations, foundations, endowments, corporations, and small businesses. We are committed to the precept that by placing the clients’ interests first, we will add value to the asset management process and earn the client’s trust and respect. We value long term relationships with our clients whom we regard as strategic partners in our business. Mr. Falkenberry is the founder and managing partner for Autumn Wind Global Multi-Strategies Fund, LLC. Autumn Wind serves as the General Partner to the Autumn Wind Global Multi-Strategies Fund. The Autumn Wind Global Multi-Strategies Fund is best thought of as a vehicle used to aggregate investments in specialty hedge fund managers or unique investment strategies that enables clients to size their investment in those managers or strategies without regard to minimum investment requirements. The Fund offers Class A and Class B interests. Class A does not charge an internal management or incentive fee. Rather, the Fund is billed as any other investment at 1% per year. Class B follows a typical hedge fund fee structure of a 1.5% management fee and 20% of profits. Services We provide various asset and portfolio management services, with an emphasis on quantified and model- driven investment management processes. Our focus is on helping you develop and implement investment management planse that are designed to build and preserve your wealth in coordination with your other financial professionals and your overall financial planning objectives. We have two primary areas of specialization: establishing and actively managing client-driven asset allocation policy and managing the global equity and fixed income allocations of your portfolio. The Firm’s philosophy is to internally manage allocations to domestic equities and core fixed income, and to utilize independent money management firms for specialty asset classes such as small cap, international, emerging market, high yield, hedge funds, and venture capital. Client objectives dictate the use of specialty asset classes. As of December 31, 2023, we provided asset management services for 199 accounts, managing total assets of $ 165,142,153. Autumn Wind Asset Management ADV Part 2A March 2024 Page 6 of 33 This amount is managed on a discretionary basis, which means you have given us the authority to determine the following without your consent:
• Securities to be bought or sold for your account
• Amount of securities to be bought or sold for your account
• Broker- dealer to be used for a purchase or sale of securities for your account
• Commission rates to be paid to a broker or dealer for your securities transaction Trading may be required to meet initial allocation targets, after substantial cash deposits that require investment allocation, and/or after a request for a withdrawal that requires liquidation of a position. Additionally, your account may be rebalanced or reallocated periodically in order to reestablish the targeted percentages of your initial asset allocation. This rebalancing or reallocation will occur on the schedule we have determined together. You will be responsible for any and all tax consequences resulting from any rebalancing or reallocation of the account. We are not tax professionals and do not give tax advice. However, we will work with your tax professionals to assist you with tax planning. You will have the opportunity to meet with us periodically to review the assets in your account. 1. Financial Planning We do not provide comprehensive financial planning but we will help coordinate with your advisors, such as your attorney, accountant, estate planner and other financial professionals, regarding investments and portfolio management as part of your overall financial planning process. 2. Asset Management Asset management is the professional management of securities (stocks, bonds and other securities) and assets (e.g., real estate) in order to meet your specified investment goals. With an Asset Management Account, you engage us to assist you in developing a personalized asset allocation program and custom- tailored portfolio designed to meet your unique investment objectives. The investments in the portfolio account may include mutual funds, stocks, bonds, equity options, futures, etc. We have a minimum investment requirement of $1 million. However, Autumn Wind and the Autumn Wind Global Multi-Strategies Fund may accept an initial investment below the stated minimum. These situations are evaluated on a case-by-case basis and include a consideration of whether you have an existing investment with us or expect to fulfill the minimum requirement over a relatively short period of time. We will meet with you to discuss your financial circumstances, investment goals and objectives, and to determine your risk tolerance. We will ask you to provide statements summarizing current investments, income and other earnings, recent tax returns, retirement plan information, other assets

and liabilities, wills and trusts, insurance policies, and other pertinent information. Based on the information you share with us, we will analyze your situation and recommend an appropriate asset allocation or investment strategy. You will be provided with a targeted strategic allocation of assets by class, as well as investment advice. Our recommendations and ongoing management is based upon your investment goals and objectives, risk tolerance, and the investment portfolio you have selected. We will monitor the account, trade as necessary, and communicate regularly with you. Your circumstances shall be monitored in Autumn Wind Asset Management ADV Part 2A March 2024 Page 7 of 33 quarterly and annual account reviews. These reviews will be conducted in person, by telephone conference, and/or via a written inquiry/questionnaire. We will work with you on an ongoing basis to evaluate your asset allocation as well as rebalance your portfolio to keep it in line with your goals as necessary. We will be reasonably available to help you with questions about your account. You will also receive our Advisory Agreement which describes what services you will receive and what fees you will be charged. We will:
• Review your present financial situation
• Monitor and track assets under management
• Provide portfolio statements, periodic rate of return reports, asset allocation statement, rebalanced statements as needed
• Advise on asset selection
• Determine market divisions through asset allocation models
• Provide research and information on performance and fund management changes
• Build a risk management profile for you
• Assist you in setting and monitoring goals and objectives
• Provide personal consultations as necessary upon your request or as needed You must notify us promptly when your financial situation, goals, objectives, or needs change. You shall have the ability to impose reasonable restrictions on the management of your account, including the ability to instruct us not to purchase certain mutual funds, stocks or other securities. These restrictions may be a specific company security, industry sector, asset class, or any other restriction you request. Under certain conditions, securities from outside accounts maybe transferred into your advisory account. However, we may recommend that you sell any security if we believe that it is not suitable for the current recommended investment strategy. You are responsible for any taxable events in these instances. Your account can be managed in a tax aware manner; however, we do not provide tax advice or tax management services. You should always consult with your tax advisor for specific tax advice. Certain assumptions may be made with respect to interest and inflation rates and the use of past trends and performance of the market and economy. Past performance is not an indication of future performance. If you decide to implement our recommendations, we will help you open a custodial account(s). The funds in your account will be held in a separate account, in your name, at an independent custodian, not with us. We recommend using Charles Schwab & Company; however you can use anyone you desire. The identity of your custodian will be communicated to you before the account is opened. You will enter into a separate custodial agreement with the custodian. This agreement, among other things, authorizes the custodian to take instructions from us regarding all investment decisions for your account. We will select the securities bought and sold and the amount to be bought and sold, within the parameters of the objectives and risk tolerance of your account. The custodian will effect transactions, deliver securities, make payments and do what we instruct. You are notified of any purchases or sales through trade Autumn Wind Asset Management ADV Part 2A March 2024 Page 8 of 33 confirmations and statements that are provided by the Custodian. You will at all times maintain full and complete ownership rights to all assets held in your account, including the right to withdraw securities or cash, proxy voting and receiving transaction confirmations. You will receive two types of monthly statements, one from Charles Schwab and another more detailed report from Autumn Wind. The Schwab statement contains a description of all the activity in your account. This statement lists the total value at the start of the time period, itemizes all transaction activity during the time period, and lists the types, amounts, and total value of securities held as of the end of the time period. Your statement may be in either printed or electronic form based upon your preferences. In addition, Schwab allows you web access 24/7 to view account balances and transactions. We are available during normal business hours either by telephone, fax, email, or in person by appointment to answer your questions. 3. Third Party Money Managers In the event a Client’s objectives require the use of an independent money manager, Autumn Wind will conduct a manager search and provide ongoing review. At present, Autumn Wind does not charge a fee for the manager search but does include the investment as a billable asset under the firm’s fee structure to cover the cost of ongoing due diligence of the manager and its performance. Autumn Wind may invest in individual fixed income or equity securities or in vehicles managed by 3rd party managers such as mutual funds, hedge funds, private equity, or other alternative investments. These investments may take place through the Autumn Wind Global Multi-Strategies Fund or through your account at Charles Schwab. If you invest in the Autumn Wind Global Multi-Strategies Fund, we will provide you all the necessary disclosure documentation required for you to review and understand the fund and the fees involved for investing in the fund.