Emerald Asset Advisors has developed a Disaster Recovery Plan (DRP) detailing how we will respond to events that significantly disrupt our business. While no plan can fully anticipate the timing and impact of disasters and disruptions, we have attempted to formulate policies and procedures with the flexibility to respond to actual events as they occur. We are providing you with information on our DRP to assist you with communicating with us and our custodian, Charles Schwab, during a disruption and to explain how we plan to assure your prompt access to your funds and securities.

Contacting Us:

If we experience a significant business disruption and you cannot contact us as you usually do, you should call our alternative number (866) 385-1627 or go to our web site at www.emeraldassetadvisors.com. If you cannot access us through either of those means, you should contact our custodian, Charles Schwab & Co., at (800) 515-2157, for instructions on how they may assist you with promptly accessing funds and securities, entering trade orders and processing any other trade-related, cash and security transfer transactions.

Our Disaster Recovery Plan:

We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. Our DRP is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the business disruption.

Our DRP addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Our custodian, Charles Schwab & Company, stores and backs up data in multiple areas to mitigate the risk of single site failures. Schwab stores its data in two independent facilities, each equipped with an uninterrupted power supply and generators that can power the facilities and computing equipment for several weeks. Schwab will reroute phone traffic from one service center to the next as necessary and has fully equipped standby facilities. While no contingency plan can eliminate all risk of service interruption, Schwab’s objective is to restore its own operations within minutes of any significant business disruption. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions:

If the significant disruption affects us, we will transfer our operations to a site outside of the affected area if possible and will plan to recover and resume business within two days. Our data is automatically backed up daily to a redundant mirrored server at a remote location. We will access our remote server if our main server is out of service. In addition, the Schwab Institutional website, our portfolio management system, trading platform and email service are web based and accessible to us from any location where there is internet service. If our facility is not operational, our key employees will be able to use alternative locations with computer facilities or personal laptops to view your accounts, request funds and execute transactions, and communicate with you via our usual email addresses.

In either situation, we plan to continue in business, transfer most operations to our custodian if necessary, and notify you through our web site or our customer emergency number, (866) 385-1627, how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

Plan Testing and Updating:

At a minimum our DRP is reviewed, updated, and tested annually. Additionally, the DRP will be updated on an as-needed basis as business processes, technology, or staff changes. We post general and updated information about our DRP on our Web site at www.emeraldassetadvisors.com. If you have questions about our DRP or would like a DRP plan summary, you can contact us at 954-385-9624.

Scope of this Policy: Emerald Asset Advisors, LLC; Emerald Allocation Strategies, LLC
2843 Executive Park Drive, Weston FL 33331 Phone: 954-385-9624