Page 4 A. Description of Your Advisory Firm CenterPoint Wealth Management, LLC (“CenterPoint” and/or “the firm”) is an SEC-registered investment adviser located in Zionsville, Indiana. CenterPoint began conducting business in 2001. Listed below are CenterPoint's principal shareholders (i.e., those individuals and/or entities controlling 25% or more of this company): ▪ Brian J. Brunner, Managing Member B. Description of Advisory Services Offered CenterPoint provides a variety of financial planning and investment consulting services primarily to individuals including high-net worth individuals and their related trusts and estates, and corporate entities. Services provided by CenterPoint include investment consulting, estate planning, comprehensive financial planning, selection of other advisers, and income tax planning and/or preparation. For larger clients, CenterPoint provides these services within a family office structure. Family office is a platform that centralizes all of the family’s financial matters into one location and advisory team. B.1. Investment Consulting – Individual Portfolio Management CenterPoint provides continuous advice to a client regarding the investment of client funds based on the individual needs of the client. Through personal discussions in which goals and objectives based on a client's particular circumstances are established, CenterPoint develops a client's personal investment strategy and create and manage a portfolio based on that strategy. During the data-gathering process, CenterPoint determines the client’s individual objectives, time horizons, risk tolerance, and liquidity needs. As appropriate, CenterPoint also reviews and discusses a client's prior investment history, as well as family composition and background. CenterPoint manages these advisory accounts on a discretionary or non-discretionary basis. Account supervision is guided by the client's stated objectives, as well as tax considerations. Clients may impose reasonable restrictions on investing in certain securities, types of securities, or industry sectors. CenterPoint’s investment recommendations are not limited to any specific product or service offered by a broker-dealer or insurance company and will generally include advice regarding the following securities: ▪ Exchange-listed securities ▪ Securities traded over-the-counter ▪ Foreign issuers ▪ Corporate debt securities (other than commercial paper) ▪ Commercial paper ▪ Certificates of deposit Page 5 ▪ Municipal securities ▪ Variable life insurance ▪ Variable annuities ▪ Mutual fund shares ▪ United States governmental securities ▪ Options contracts on securities ▪ Interests in partnerships investing in real estate Because some types of investments involve certain additional degrees of risk, they will only be implemented/recommended when consistent with the client's stated investment objectives, tolerance for risk, liquidity, and suitability. In addition to providing information regarding their personal financial circumstances, investment objectives and tolerance for risk, clients are obligated to provide CenterPoint with any reasonable investment restrictions that should be imposed on the management of their portfolio, and to promptly notify CenterPoint in writing of any changes in such restrictions or in the client's personal financial circumstances, investment objectives, goals and tolerance for risk. On at least an annual basis, CenterPoint’s reports to clients will remind them of their obligation to inform CenterPoint of any such changes or any restrictions that should

be imposed on the management of the client’s account. CenterPoint will also contact clients at least annually to determine whether there have been any changes in a client's personal financial circumstances, investment objectives and tolerance for risk. B.2. Financial Planning Services CenterPoint provides independent, fee-only financial planning services. Financial planning is a comprehensive evaluation of a client’s current and future financial state by using currently known variables to predict future cash flows, asset values, and withdrawal plans. Through the financial planning process, all questions, information, and analysis are considered, as they impact and are impacted by the entire financial and life situation of the client. This service is often ongoing as a part of the overall relationship with a client and not limited to a single report or deliverable. In general, the financial planning services can address any or all of the following areas: ▪ Personal: Review of family records, budgeting, personal liability, estate information, and financial goals. ▪ Tax & Cash Flow: Analysis of the client’s income tax and spending and planning for past, current, and future years to illustrate the impact of various investments on the client's current income tax and future tax liability. ▪ Investments: Analysis of investment alternatives and their effect on the client's portfolio. ▪ Insurance: Review of existing policies to ensure proper coverage for life, health, disability, long-term care, liability, home, and automobile. ▪ Retirement: Analysis of current strategies and investment plans to help the client achieve his or her retirement goals. Page 6 ▪ Death & Disability: Review of the client’s cash needs at death, income needs of surviving dependents, estate planning, and disability income. ▪ Estate: Assisting the client in assessing and developing long-term strategies, including as appropriate wills, trusts, powers of attorney, charitable vehicles, and estate tax review. CenterPoint gathers required information through in-depth personal interviews and financial records. Information gathered includes the client's current financial status, tax status, future goals, returns objectives, and attitudes towards risk. CenterPoint reviews documents supplied by the client, and may prepare written reports and analysis on specific issues as directed by the client. Should the client choose to implement the recommendations contained in the plan, CenterPoint will work closely with his/her attorney, accountant, insurance agent, and/or other advisors. Implementation of financial planning recommendations is entirely at the client's discretion. CenterPoint also provides general non-securities advice on topics that may include tax and budgetary planning, estate planning, and business planning. Financial planning recommendations are not limited to any specific product or service offered by a broker-dealer or insurance company. C. Client-Tailored Services and Client-Imposed Restrictions Each client’s account will be managed on the basis of the client’s financial situation and investment objectives, and in accordance with any reasonable restrictions imposed by the client on the management of the account. D. Wrap Fee Programs CenterPoint does not participate in wrap fee programs. (Wrap fee programs offer services for one all-inclusive fee.) E. Client Assets Under Management As of December 31, 2022, CenterPoint had $225,844,412 of discretionary assets under management. Item 5: Fees and Compensation