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for reading alLdfsclosure and relatedmaterials, fncludlno prospectuses, statements of add Itlonal Information and <br />other similar material . <br />Item 9— Disciol Ina ry Information <br />Registered Investment advisers are required to disclose all metorleI facts regarding any legal or disciplinary events <br />that would be material to your evaluation of EAG or the Integrity of EAG's management. EAG has no legal or <br />disciplinary event to report relative to this Item. <br />Item 10— Other Financial lndustry Activities and Affiliations - <br />EAG is note registered broker -dealer. However, due to the organizational structure of EAG's parent company, EAIC, <br />certain registered representatives of EFSI are also supervised persons of EAG and are required to comply with EAG <br />policies and procedures when acting In that capacity. EAG and Its management persons -are not registered as a <br />futures commission merchant, commodity pool operator, a commodity trading advisor, or an associated person of <br />the foregoing entities. <br />Recordkeeping and Administrative Services Company _ <br />Empower Retirement, LLC(Empower) is a comprehensive administrative and recordkeeping services provider for <br />financial Institutlons and employers, which include educational, advisory, enrollment, and communication services <br />for employer -sponsored defined contribution plans and associated defined benefit plans under Internal Revenue <br />Code Section 401(a), 401(k), 403(b), 408, and 457.. <br />Other Financial Industry Affiiations <br />EAG has arrangements that are material to Its advisory business or Its clients/participants with the related entitles <br />shown below. These related entities may receive certain fees Chat are unrelated to EAG's fees for Its Services, <br />Insurance Companies <br />EmpowerAnnufry Insurance CompanyofAmerfca (EAIC) is an Insurance company domiciled In the State of Colorado. <br />EAG Is a wholly owned direct subsidiary of EAIC. EAIC, pursuant to various agreements, may provide Investment <br />products,recordkeeping, and other administrative services through its affiliates, <br />Empower Life & Annuity Insurance Company of New York (ELAINY) is an insurance company domiciled In the State <br />of New York. EAG Is an efflllate of ELAINY through common ownership where EAIC Is the sole owner of both EAG <br />and ELAINV. ELAINV, pursuantto various agreements, may provide Investment products and administrative services <br />through Its affiliate, Empower, to retirement plans for which EAG may also provide Its services. <br />Broker -Dealer <br />Empower Financial 6ervroes, Inc. (EFSI), en affiliate of EAG, Is, a registered limited broker -dealer and wholly owned <br />subsidiary of EAIC. EF51 may provide wholesaling, direct sales, enrollment and/or mmmuniwtfon services to <br />retirement plans and their participants for which EAG may also provide Its services. All transactions which occur as <br />a result of pardclpation In the Service are executed. by EFSI. EFSI may receive compensation Inthe form of 12b-1 <br />fees or other compensation from the mutual fund companies or from the other Investments that may be available <br />as Investment options. <br />Trust Company <br />Empower Trust Company, LLC (ETC) is a trust company and affiliate of EAG. ETC is a wholly owned subsidiary of EAIC. <br />ETC is chartered under the laws of the State of Colorado. ETC 'may . provide discretionary or directed trustee and/or .. <br />custodial services for EAG's clients, FTC also serves as the trustee for certaln collective investmenttrusm, which may .. <br />be available as Investment options, and Is the custodian of all Empower premier IRA accounts. <br />13 <br />City Council 19 — 91 9/19/2023 <br />