This includes any affiliate company or partnership that any principal, portfolio manager and/or C-Level Officer is involved with that is affiliated with the Advisor. Please provide full details.

This includes any affiliate company or partnership that any principal, portfolio manager and/or C-Level Officer is involved with that is affiliated with the Advisor. Please provide full details.

This includes any principal, portfolio manager, and/or indirect Officer that has any complaint arising out of their affiliate company or partnership (if applicable).

If yes, this must be disclosed on ADV.

Soft dollars include any dollars retained on a trade to be used for services for the client's benefit.

E.g. software is permitted but hardware is not; Bloomberg service is permitted but the terminals are not

E.g. not through you

Defined as margin.

Defined as borrowing money from a lender and using portfolio securities as collateral to purchase securities.

Not automatically valued through an exchange.

If not, please send the most recent statement(s) for your personal account(s) to Redhawk Compliance and set up duplicate statements to be sent to Redhawk at: 7700 France Ave. S. Suite 430, Minneapolis, MN 55435.

It is against Redhawk's policy to vote proxies on behalf of clients. All proxy material must be delivered to the client and cannot be routed to their advisor.

Legal/regulatory risk, reputation risk, financial risk.

MyRepChat is the only approved text messaging platform that can be used for communicating about account and advisory service-related items. Any text messaging communication outside of MyRepChat is against Redhawk's policy.