Ian R. Goltra

Moore Capital Management LP (Moore Capital) is a SEC-registered investment advisor and hedge fund manager headquartered in New York City. The firm was founded by Louis Bacon in 1989 and is a subsidiary of Moore Capital Advisors LLC, ultimately held by MCM Group Holdings, Inc. Moore Capital provides investment management services on a discretionary basis to US and non-US privately-offered investment funds sponsored by Moore Group.

DWS Investment Management Americas, Inc. (DIMA) is a SEC-registered investment advisor headquartered in New York City. The firm is a subsidiary of DWS USA Corp., ultimately held by Deutsche Bank AG (ETR: DBK) in Germany. The firm was founded in 1984 and formerly known as Deutsche Investment Management Americas Inc. In 2018, they changed their name into DWS as part of the rebranding of Deutsche Asset Management. DIMA provides discretionary and non-discretionary investment advisory services to various institutional clients. They also provide investment advisory services for its municipal bond strategies through wrap fee programs.

KeyBanc Capital Markets, Inc. is a registered investment bank and broker/dealer headquartered in Cleveland, Ohio. The firm was founded in 1983 and is a subsidiary of KeyCorp. (NYSE: KEY). KeyBanc Capital Markets provides investment banking, commercial lending, treasury management, derivatives, foreign exchange, equity and debt underwriting and trading and syndicated finance products and services to large corporations and middle-market companies.

Hartford Investment Management Co. (HIMCO) is a SEC-registered investment advisor headquartered in Hartford, Connecticut. The firm was founded in 1996 by acquiring the business, personnel and corporate name of an affiliate which had been in operation since 1981 and which performed substantially similar services They are a wholly-owned subsidiary of The Hartford Financial Services Group, Inc. (NYSE: HIG). HIMCO provides investment advisory services primarily to institutional clients and registered and unregistered investment companies. The firm also serves as an investment adviser for its affiliates and provides investment advisory services for vehicles that support the product mix of its affiliates.

RREEF America LLC is a SEC-registered investment advisor headquartered in Chicago, Illinois. The firm was founded in 1975 and is a direct subsidiary of RoPro US Holding, Inc., ultimately owned by Deutsche Bank AG (ETR: DBK), a publicly held banking corporation organized under the laws of Germany. RREEF provides investment and advisory services to funds and institutional clients on a discretionary and non-discretionary basis.

Mackenzie Patterson, Inc. provides real estate management services. The company is headquartered in Saint Moraga, CA.

Exchange Traded Concepts LLC (ETC) is a SEC-registered investment advisor headquartered in Oklahoma City, Oklahoma. The firm was founded in 2011 by Garrett Stevens as FaithShares Advisors LLC. They are principally owned by Cottonwood ETF Holdings LLC. ETC offers both passive and active discretionary investment advisory services for the (i) US-registered exchange traded funds (ETFs) and (ii) pooled investment vehicles that are not US-registered mutual funds (e.g., a private investment vehicle and offshore funds).

WMS Partners LLC (WMS) is a SEC-registered investment advisor and wealth management firm headquartered in Towson, Maryland. The firm was founded by Timothy Chase, David Citron and Martin Eby in 1993 as Wealth Management Services. They are a subsidiary of WMS Partners Holdings LLC. WMS offers investment advisory services on either a discretionary or non-discretionary basis to clients who include individuals, business entities, pension and profit-sharing plans, trusts, estates and charitable organizations.

Franklin Advisers, Inc. is a mutual fund manager and registered investment advisor headquartered in San Mateo, California. The firm was founded in 1985 and is a subsidiary of Franklin Resources, Inc. (NYSE: BEN), a holding company that, together with its various subsidiaries is referred to as Franklin Templeton Investments. Franklin Advisers provides investment advisory and portfolio management services to US and non-US, registered open-end and closed-end funds and unregistered funds, as well as separate accounts.

Principal Global Investors LLC, dba Principal Asset Management (Principal AM), is a SEC-registered investment advisor headquartered in Des Moines, Iowa. The firm was founded in 1998 and is a wholly owned subsidiary of the Principal Global Investors Holding Co. (US) LLC and their ultimate parent is Principal Financial Group, Inc. (NASDAQ: PFG). Principal AM provides investment advisory services to institutional investors and individuals on a discretionary or non-discretionary basis.

Duke University is an academic university that offers undergraduate, graduate and professional programs. It also has publications and research services. The university was founded in 1838 and is headquartered in Durham, NC.

Arthur Andersen LLP used to provide accounting services. It was also into consulting services for clients that operate businesses throughout the United States and around the world. Arthur Andersen was founded in 1913 and was headquartered in Chicago, IL.

Ascendant Capital Management LLC (ACM) is an independent investment management firm headquartered in Los Angeles, California. The firm was founded by Jordan Kahn in 2014. ACM offers investment funds for individual and institutional investors.

ETF Managers Group LLC (ETFMG) is a SEC-registered investment advisor headquartered in Summit, New Jersey. The firm was founded by Sam Masucci in 2014 and is a subsidiary of Exchange Traded Managers Group LLC. ETFMG develops innovative thematic ETFs that provide investors unique exposure to new markets.

Founded in 2001, Quantitative Services Group LLC (QSG) is a research firm located in Naperville, Illinois. The firm is a subsidiary of Markit Group Holdings Ltd. They seek to leverage the latest technology, construction techniques and specialty data to provide institutional investors a variety of global stock selection models focused on outperformance. QSG's Value Momentum Model provides a balanced approach to stock selection within the U.S. market. This model favors stocks with strong earnings quality, good valuation, strong balance sheets, positive momentum, and good earnings growth. The Value Momentum Model's approach is best for investors seeking broad exposure to a variety of proven stock selection methods and a core approach portfolio construction. The model is applied across all market-caps, investment styles and asset classes. The firm's Relative Value Model includes themes of price multiples, profitability, earnings expectations, intrinsic value and financial strength. This model is designed to avoid value traps, augment sector-relative and industry-relative viewpoints and provide a consistent source of value. QSG's Price Momentum Model provides a powerful, consistent 1- to 3-month investment signal. This model leverages put and call options and trading volume information to reduce the inherent risk-seeking nature of momentum-based strategies. The firm's GARP Model identifies growth stocks with strong value characteristics. The model consists of a proprietary combination of long-term earnings growth and relative value signals. It employs first-order partial correlation to create a blend of sustainable earnings growth and current cheapness. This model is best for strategies targeting stocks that demonstrate high long-term growth potential and the sustainability to realize that potential. QSG's Deep Value Model is a proven approach to selecting undervalued stocks across the broad US market. The Deep Value Model is designed to select future out performers over the next 9 to 12 months. The firm's Deep Value Model uses free-cash-flow, dividend yield and asset turnover to identify stocks that are currently trading at a deep discount to their intrinsic value. The Deep Value model provides discriminatory power for both long-only and long-short strategies and compliments more short term-oriented momentum and growth strategies. QSG's Earnings Momentum Model uses a proprietary search algorithm to combine analyst forecasts with the company's past earnings strength, along with several indicators of future earnings potential. The Earnings Momentum model has consistently outperformed in both pre- and post- Regulation FD environments. Utilizing a unique k-clustering factor selection technique, QSG's Historical Growth Model selects stocks with an above-average track-record of earnings growth, strong sales growth and high sustainable growth. This blended approach enables the model to identify traditional growth stocks, as well as value stocks on the verge of growth.

Part of Canon J. Beverly Investment Advisors LLC is based in Beverly Hills, CA and is led by Ms. Price, who has over thirty years of experience in the financial services industry. Price, Inc., Beverly Investment Advisors is an independent investment advisory firm that provides objective advice for high net-worth individuals and corporate entities. The firm offers asset management, retirement planning, and pension consulting services. The firm also handles 401(k) plans, including design, implementation, and ongoing advice for plan participants. Beverly Investment Advisors is an accredited asset management specialist and a member of the Financial Planning Association. The firm's website provides resources for clients, including research and monitoring providers, and a client relationship summary.

HCR Wealth Advisors (HCR) is an independent, SEC-registered investment advisor headquartered in Los Angeles, California. The firm was founded by Gregory S. Heller in 1988. HCR provides advisory services to individual and institutional clients.

Heritage Capital operates as a holding private company. The company is based in Los Angeles, CA. The company was founded by Makhunga Buyisiwe.

Salient Advisors LP is an independent, SEC-registered investment advisor headquartered in Dallas, Texas. The firm was founded in 2020 and provides investment advisory services to Investment Funds, which includes the Westwood Broadmark Tactical Plus Fund.