A. Ascension Capital Advisors, Inc. (the “ACA”) is a corporation formed on April 7, 1997, in the State of Texas. ACA became registered as an investment adviser in October 1997. The firm is co-owned by Paul B. Thompson and Paul B. Thompson, Jr. B. ACA offers its clients portfolio and investment management services, retirement plan consulting, and financial planning and related consulting services. INVESTMENT MANAGEMENT SERVICES. ACA will review, supervise, and manage client’s investment account(s) (the “Portfolio”) on a discretionary fee-only basis. Our investment management services are based on the client’s risk tolerance and investment objectives as disclosed to one of our investment adviser representatives. ACA will allocate investment assets consistent with the designated investment objective(s). ACA provides portfolio and investment management services with respect to the purchase, sale, and reinvestment of various types of bonds; no-load or load-waived mutual funds; interval funds; and exchange-traded funds. Typically, as part of our portfolio management process, ACA does not purchase individual stocks. Cash Positions. At any specific point in time, depending upon perceived or anticipated market conditions/events (there being no guarantee that such anticipated market conditions/events will occur), ACA will maintain cash positions for defensive purposes. All cash positions (money markets, etc.) shall be included as part of assets under management for purposes of calculating ACA’s investment management fee, unless otherwise specifically agreed between the client and ACA. Private Placements. Additionally, for those Clients that are accredited investors and/or qualified clients, as those terms are defined in Rule 501 of the Securities Act of 1933 and Rule 205-3 of the Investment Advisers Act of 1940, respectively, ACA will provide non-discretionary consulting services related to the purchase and sale of interests in unaffiliated private placement offerings. When providing non-discretionary consulting services related to the purchase and sale of interests in unaffiliated private placement offerings, the ACA will provide the Client with a recommendation. The ultimate investment decision shall remain with the Client. RETIREMENT PLAN CONSULTING. ACA provides discretionary investment management and offers non-discretionary retirement plan consulting services, pursuant to which it assists plan sponsors monitor plan performance, as well as analysis of fees, vendor services, and investment options from which plan participants shall choose in self-directing the investments for their accounts. In addition, to the extent requested by the plan sponsor, we assist participants in identifying the appropriate investment strategy for their retirement plan accounts. ACA will also coordinate participant education designed to improve participant engagement and savings rates with the plan. The terms and conditions of

the Retirement Plan Consulting engagement shall be set forth in a separate Fee Based Retirement Plan Services Agreement between ACA and the plan sponsor. WORKSHOPS AND EDUCATIONAL SERVICES. In addition to the participant education services described in Retirement Plan Consulting, ACA provides a variety of Workshops and Educational Services. These services are offered to retirement plan sponsors and their participants, as well as other organizations. We offer workshops on Financial Wellness, which takes a holistic approach towards personal finances. We discuss not only retirement but managing budgets, controlling debt and paying for life-changing purchases like buying a house or a child’s education. FINANCIAL PLANNING AND CONSULTING SERVICES. Upon request, financial planning and consulting services are offered to our clients. ACA provides financial planning and/or consulting services related to investment and non-investment matters, cash flow, retirement planning, estate planning, insurance planning, etc. Neither ACA, nor any of its representatives, serves as an attorney or accountant, and no portion of ACA’s services should be construed as same. If asked by the client, ACA may recommend the services of other professionals for implementation purposes, including certain of ACA’s representatives in their individual capacities as registered representatives of a broker-dealer and/or licensed insurance agents. (See disclosure at Item 10.C). The client is under no obligation to engage the services of any such recommended professional. The client retains absolute discretion over all such implementation decisions and is free to accept or reject any recommendation from ACA.  Please Note: If the client engages any such recommended professional, and a dispute arises thereafter relative to such engagement, the client agrees to seek recourse exclusively from and against the engaged professional. In performing its services, ACA shall not verify any information received from the client or from the client’s other professionals and is expressly authorized to rely thereon. It remains the client’s responsibility to promptly notify ACA if there is any change in his/her/its financial situation or investment objectives for the purpose of reviewing/evaluating/revising ACA’s previous recommendations and/or services. C. Our investment advice is tailored to each client’s capacity for risk and investment objectives as discussed above. ACA allows clients to impose reasonable restrictions on the management of the account. Reasonable restrictions, including special instructions and limitations, regarding the investment management of the account must be provided in writing and must be specific. D. ACA does not participate in a wrap fee program. E. As of December 31, 2023, ACA had $544,304,904 in assets under management on a discretionary basis and $16,550,479 in assets under management on a non-discretionary basis.