Business Continuity and Contingency Plans

In accordance with recent regulations enacted by the National Financial Industry Regulatory Authority, E1 Asset Management, Inc. has developed a comprehensive business continuity and contingency plan. While we certainly hope we will never have to put this plan into effect, we have made comprehensive policies to ensure we will continue to be able to provide our customers with access to their funds and securities in the event of a business disruption.

E1 Asset Management will make every effort to inform our customers of the company’s status as soon as possible following a major business disruption. If able, we will update our website with our current status and instructions for our customers, as well as the main voice mail greeting at the headquarters. We will also attempt to monitor, and respond to, customer emails from outside of the office.

In the event of a city-wide disruption, we will seek to relocate our company to an unaffected area and restore normal business operations as soon as possible. Customers may also contact our clearing firm, Pershing LLC., in the event they are unable to contact us, for access to their funds and securities. Pershing has created its own business continuity plan, which you will receive information on in a separate mailing.

Please be advised that due to the unpredictable nature of events, this document is only a general guideline. You are strongly encouraged to maintain this document and the enclosed contact information in a safe place in the event you are unable to reach your representative. We may revise this plan at any time to better address possible events. An updated plan will be available at our website, http://www.e1am.com. You may also request a copy of the plan by calling (212)440-2042, or sending an email to operations@e1am.com.

Important Contact Details
Please save these details in the event of business disruption

E1 Asset Management, Inc.
44 Wall Street, 9th Floor
New York NY 10005
Main Number: (212)425-2670
Alternate Number: (212)440-2040
In the event of business disruption, a recorded message will be available on this number informing clients of our current status
Fax Number: (212)425-2676

Our Website: http://www.e1am.com
In the event of business disruption, the main page will be updated with a message informing clients of our status as soon as possible

General Email: operations@e1am.com
This email will be monitored from outside the office if we are unable to access either of our locations. Requests and inquiries will be responded to as soon as able

Pershing LLC
You may view Pershing’s Business Continuity strategy in the “About Pershing” section at http://www.pershing.com

In the event you are unable to reach us at any of the above numbers, you may call Pershing at (201)413-3635. This line will have a recorded message instructing you how to access your funds and securities. This number should only be used in the event you are unable to reach ourselves. Please note Pershing will only provide assistance in accessing your funds and securities, and will not execute any purchases, render investment advice, or anything of similar nature.