Common use of Voting Client Securities Clause in Contracts

Voting Client Securities. It is the policy of Creative Planning to not vote proxies on behalf of clients. It is the client’s ultimate responsibility to select and make all proxy voting decisions to vote all proxies for securities held in their accounts. As noted previously however, Creative Planning has acquired other advisory firms and certain legacy clients of these firms may have had their proxies voted by the acquired firm. This practice may continue for a period of time post acquisition subject to the policies of the acquired firm, until such time as the proxy voting arrangement can be terminated at the custodian by Creative Planning. Clients should receive proxy notices directly from their custodian, issuer, or transfer agent as they will not be delivered by us. Although we do not vote client proxies if you have a question about these items feel free to contact your wealth manager. Clients for whom the firm has engaged a Sub-Advisor will be subject to the Sub-Advisor’s proxy voting policy. The policy will be disclosed in Item 17 of the Sub-Advisor’s Disclosure Brochure (ADV Part 2A). This item is not applicable to this brochure. Creative Planning does not require or solicit prepayment of more than $1,200 in fees per client, six months or more in advance. Therefore, we are not required to include a balance sheet for my most recent fiscal year. The firm is not subject to a financial condition that is reasonably likely to impair its ability to meet contractual commitments to clients. Finally, we have not been the subject of a bankruptcy petition at any time.