Dale Q. Rice Investment Management, Ltd (hereinafter called “DQR”) is a Registered Investment Adviser based in Vancouver, Washington, and incorporated under the laws of the State of Washington. DQR is wholly owned by Dale Q. Rice. DQR became registered with the U.S. Securities and Exchange Commission in March 2022 and subject to its rules and regulations. Founded in September 2020, DQR provides investment advisory services, which may include, but are not limited to, the review of client investment objectives and goals, recommending asset allocation strategies of managed assets among investment products such as cash, stocks, mutual funds and bonds, annuities, and/or preparing written investment strategies. Subaccounts of variable annuities may be managed by DQR. Our investment advice is tailored to meet our clients’ needs and investment objectives. Therefore, DQR will make reasonable efforts to document and annually update client suitability information. This information will include: Age (or date of birth), Annual income, Total net worth (excluding primary residence), Liquid net worth, Employment status (if retired, former profession. If self- employed, type of business), Fair market value of primary residence (and outstanding debt), Tax status, which includes, type of account (natural person, entity, IRA, etc.), tax bracket, or tax strategy for the account(s), Investment objectives (should be defined to ensure client understanding), Investment experience (time/investment products), Investment time horizon, Liquidity (cash flow) needs, Risk tolerance, Other investments (types of investments held elsewhere), Any other information the client may disclose to the investment adviser in connection with such recommendation or investment advice; and Any other relevant information the investment adviser should ask based on the investment adviser’s strategy (for example, source of funds for the purpose of this investment). Clients may impose restrictions on investing in certain securities or types of securities (such as a product type, specific companies, specific sectors, etc.) by providing a signed and dated written notification, of which an e-mail is also an acceptable form of notification.

DQR also provides financial planning consulting services including, but not limited to, risk assessment/management, investment planning, estate planning, financial organization, or financial decision making/negotiation. DQR provides investment advisory and other financial services through its Investment Advisory Representatives ("IAR") to accounts opened with DQR. Managed accounts are available to individuals and high net worth individuals. DQR provides discretionary and non-discretionary investment advisory services to some of its clients through various managed account programs. As a discretionary investment adviser, DQR will have the authority to supervise and direct the portfolio without prior consultation with the client. Non-discretionary accounts require client approval. DQR will assist clients in determining the suitability of the managed account(s) for the client. The IAR is compensated through a comprehensive single fee. DQR and its IAR, as appropriate, will be responsible for the following:
• Performing due diligence
• Recommending strategic asset and style allocations
• Providing research on investment product options, as needed
• Providing client risk profile questionnaire
• Obtaining investment advisory contract from client with required financial, risk tolerance, suitability and investment vehicle selection information for each new account
• Performing client suitability check on account documentation, review the investment objectives and evaluate the investment vehicle selections
• Providing Firm Brochure (this document) DQR may recommend a Wrap Fee Program for the client’s account(s). A “wrap fee program” for purposes of the SEC is a program under which investment advisory and brokerage execution services are provided for a single “wrapped” fee that is not based on the transactions in a client account. Clients with Wrap Fee Program accounts will be provided with DQR’s Wrap Fee Brochure. DQR only offers management services through a wrap free program. As of March 31, 2023, the firm manages $88,159,520 discretionary client assets and $2,063,620 non-discretionary client assets. Form ADV, Part 2A, Item 5