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for reading all disclosure and related materials, including prospectuses, statements of additional information and <br />other similar material. <br />Item 9 — Disciplinary Information <br />Registered investment advisers are required to disclose all material 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 Industry Activities and Affiliations <br />EAG is not a 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 institutions 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 Affiliations <br />EAG has arrangements that are material to its advisory business or its clients/participants with the related entities <br />shown below. These related entities may receive certain fees that are unrelated to EAG's fees for its Services. <br />Insurance Companies <br />EmpowerAnnuity Insurance Company ofAmerica (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 cf New York (ELAINY) is an insurance company domiciled in the State <br />of New York. EAG is an affiliate of ELAINY through common ownership where EAIC is the sole owner of both EAG <br />and ELAINY. ELAINY, pursuant to 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 Services, Inc. (EFSI), an affiliate of EAG, is a registered limited broker -dealer and wholly owned <br />subsidiary of EAIC. EFSI may provide wholesaling, direct sales, enrollment and/or communication 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 participation in the Service are executed by EFSI. EFSI may receive compensation in the 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. ETC also serves as the trustee for certain collective investment trusts, 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 />