Firm Description Great Point Advisors LLC (the “Advisor” or “GPA”) is an Illinois Limited Liability Company formed in January 2020. Great Point Trading, LLC is the principal owner of the Advisor, owning 100% of the membership units of the Advisor. The Advisor is an investment adviser registering with the U.S. Securities and Exchange Commission (“SEC”) and is subject to state securities laws and the Investment Advisers Act of 1940, as amended (the “Investment Advisers Act”). The Advisor is an affiliate of Great Point Capital LLC - a securities broker dealer registered with the SEC and is a member of the Financial Industry Regulatory Authority (“FINRA”). The primary types of investment advisory services offered by the Advisor are financial planning, investment consulting, investment advisory services. Financial Planning The Advisor works to develop a comprehensive financial plan for clients. The Advisor begins with a fact-finding session which helps the Advisor become familiar with the client’s current financial situation including among other things, personal goals, priorities, family circumstances, estate affairs, risk concerns, cash flow management, income taxes, investments, and insurance. Working from this comprehensive information, the Advisor prepares a financial plan which documents the client’s situation, makes specific goal-oriented recommendations, articulates strategies, priority action items, and identifies all areas which will be impacted. The Advisor’s specific goal-oriented recommendations are designed to educate and allow a client to coordinate and manage his/her financial affairs more efficiently, protect assets, prudently reduce income taxes, enhance investment returns, manage risk in support of achieving personal goals and objectives. As elements of the plan are developed, they are discussed with the client and recommendations that the client feels comfortable with are scheduled for implementation with specific deadlines to be met. The Advisor works closely with the client to assist in implementation and execution of the plan, coordination of efforts involving other advisors (attorneys, CPAs, insurance agents, brokers, etc.) and ongoing oversight and management of the planning process and management of client wealth. Investment Advisory Services Investment advisory services offered by the Advisor are specifically tailored to meet the needs of each client. Prior to delivering investment advisory services, the Advisor will ascertain each client’s specific investment objective. Then the Advisor will allocate, or recommend that the client allocate, their investment assets consistent with the designated investment objective. Clients may impose reasonable restrictions on any of the Advisor’s investment advisory services at any time, but restrictions must be delivered to the Advisor in writing and must be signed by the client. All work related to defining investment goals, objectives, risk tolerance, asset allocation, client restrictions, and any other matter relating to the investment strategy(s) may be documented in a client customized Investment Policy Statement (IPS). Investment Consulting The Advisor works to provide institutional retirement plans and the plan sponsors with diversified investment options for plan participants to choose from. In addition, as requested by the plan sponsor, the Advisor shall provide plan participants with general information seminars and/or educational materials that describe the various investment alternatives available under the plan, information about investing generally, including information about different types of investments, information about different investment allocation strategies, including information about historical returns, and interactive materials designed to help participants identify an appropriate investment strategy. Investment Management We offer discretionary and non-discretionary investment management services. Investment management services offered by the Adviser are specifically tailored to meet the needs of each client. Prior to delivering investment advisory services, the Adviser will ascertain each client’s specific investment objective. The Adviser will allocate, or recommend that the client allocate, their investment assets consistent with the designated investment objective. Please note: It is always the client’s responsibility to promptly notify the Adviser if there is any change in their financial situation or investment objective. This notification of change allows the Adviser an opportunity to review, evaluate, or revise the previous recommendations or services. Managed Discretionary Assets If you engage our firm on a discretionary basis, we require you to grant us discretionary authority to manage your account. Discretionary authorization will allow our Investment Advisor Representatives (“IAR’s”) to weigh the Client’s objectives with current market conditions and act on a client’s account without further authorization. Managed Non-Discretionary Assets In addition to providing investment management of client assets on a discretionary basis, the Adviser provides certain limited services to clients with respect to “Managed Non-Discretionary Assets.” These services consist solely of the following: o The Adviser is available to consult with the client on a semi-annual basis (or more often if requested by the client) regarding Managed Non- Discretionary Assets. However, the client is solely responsible for all decisions and consequences on the client’s Managed Non-discretionary Assets, including decisions on whether to retain or sell all or a portion of the Managed Non-Discretionary Assets. This responsibility remains solely with the client regardless of whether any security

is reflected on account reports prepared by the Adviser. o The Adviser is available to service Managed Non-Discretionary Assets, such as setting up and monitoring regular distributions and special one- time distribution requests. o The Adviser can process any trades on the Managed Non-Discretionary Assets, but only when requested to do so by the client. Upon receipt of any client’s request, The Adviser will endeavor, but cannot guarantee, that any such transaction will be affected on the day received or at any specific time or price. Limitations for Non-Discretionary Assets Clients that engage the Adviser on a non-discretionary investment advisory basis must be willing to accept that the Adviser cannot affect any account transactions without obtaining prior consent to any such transaction(s) from the client. Thus, in the event of a market correction during which the client is unavailable, GPA will be unable to affect any account transactions without first obtaining the client’s consent. Third-party Money Managers Clients may access unaffiliated third-party money managers who offer specialized asset management expertise or services that the Advisor utilizes to manage all or a portion of the client assets in appropriate cases. Such third- party money manager’s expertise ranges from research and selection of investment options, to monitoring the assets and deciding when to sell them. Once selected, these third-party money managers have the fiduciary discretion for the portion of assets placed with them, to choose and manage investments prudently for the client, including the development of an appropriate investment strategy, and buying and selling securities to meet those goals (subject to restrictions imposed by the client). These programs allow clients to obtain portfolio management services that typically have higher minimum account sizes if the client sought to engage the manager off platform or outside of the program. GPA has no ability to affect the trading decisions of the third-party money managers once a client decides to participate in these programs and can only choose whether to engage or terminate a third-party money manager. The Advisor retains the right to replace (i.e., "hire or fire") third-party money managers on behalf of clients that have given discretionary authority to the Advisor. Discretionary authority allows GPA to choose or change any third- party money manager approved for a given platform, without additional approvals from the client. The Advisor will evaluate the third-party money managers and investment vehicles to determine whether the third-party money manager is suitable for the client, given the appropriate style and allocation. In addition, the Advisor performs ongoing due diligence of the individual third- party money managers’ performance and management, continuously reviews the client’s account for adherence to objectives outlined with the manager and will reallocate assets among managers if necessary. Each third-party money manager maintains a separate disclosure document provided to clients, outlining their investment vehicle. Clients should carefully read this disclosure document for important and specific details including, among other things, fees, experience, investment objectives and risk guidelines, and disclosure of the third-party money manager's potential conflicts of interest. Please note: For all clients (Financial Planning, Investment Advisory Services, Investment Management, and Investment Consulting), it is always the client’s responsibility to promptly notify the Advisor if there is any change in their financial situation or investment objectives. This notification of change allows the Advisor an opportunity to review, evaluate, or revise previous recommendations or services. Additional Services The Advisor may furnish advice on matters not involving securities, such as: Retirement Income Planning Personal Financial Planning Withdrawal Rate Analysis Education Planning Cash Flow & Budgeting Employee Benefits & 401(k) Guidance Insurance Review & Planning Corporate Retirement Plan Guidance Estate & Charitable Gift Planning Tax Planning (Related to investments) Business Succession Investment Risk Management Tailored Relationships The GPA advisory services are tailored to the specific needs of each client. Prior to providing advisory services, the Advisor will ascertain each client’s investment goals and objectives. The Advisor then allocates and/or recommends that the client allocate investment assets consistent with the designated investment objective. The client may, at any time, impose reasonable restrictions on the Advisor’s services, but restrictions must be delivered to the Advisor in writing, and must be signed by the client. All work related to defining client investment goals, objectives, risk tolerance, asset allocation, client restrictions, and any other matter relating to the investment strategy(s) may be documented in a client customized Investment Policy Statement (IPS). In performing services for the client, the Advisor is not required to verify any information it received from the client or from the client’s other professionals and the Advisor is expressly authorized by the client to rely on this information. Each client is advised that it remains the client’s responsibility to promptly notify the Advisor if there is ever any change in the client’s financial situation or investment objectives for the purpose of reviewing, evaluating or revising the Advisor’s previous recommendations or services to the client. Managed Assets Assets Under Management (Discretionary)- $0 Assets Under Management (Non-Discretionary)- $14,580,323 Calculated as of 12/31/2023