Business Continuity Planning Disclosure Statement

Introduction

Dauntless Advisory, LLC developed and maintains a Business Continuity Plan (“BCP”) detailing how our firm will respond to events that lead to a significant business disruption (“SBD”). Given the unpredictable nature of natural disasters and/or business disruptions, our firm has an obligation to prepare for unforeseen events should they occur. Our BCP is designed to permit our firm to resume operations in a reasonable amount of time, depending on the scope and severity of a major event.

Maintaining Business Continuity

For localized business disruptions affecting only our firm or a specific part of our firm, we will allow our employees to work from their residence or from a temporary office workspace. For widespread disruptions at the regional or national level, we will transfer our operations to an alternate workspace outside of the affected area.

Keeping Clients Informed

In case of disruption, we plan to continue conducting business to the extent possible. Clients can obtain information about the status of their accounts and access to their funds and securities by contacting their financial advisors directly. We will also notify our clients how to contact us through an automated voice message via our main phone number: 410-883-0879. In addition, clients can find up-to-date information about the operating status of the firm at https://dauntlessadvisory.com

Recovery Process

Our recovery time objective for mission critical operations is 1-3 days. To meet our recovery time objective, telephone service will continue, and normal work processes will resume at alternate workspaces. If the significant business disruption is so severe that it prevents us from resuming business for longer than 3 days, we will update our automated voice message and website.

Plan Testing and Validation

At a minimum, the Dauntless Advisory, LLC BCP is reviewed and updated on an annual basis. Additionally, our business constituents and counterparties periodically conduct testing of their own capabilities to ensure that, in the event of an emergency or SBD, they will be able to provide us with the critical information and applications we rely on to continue or promptly resume our business. Our business continuity plan is designed to allow us to continue to provide the quality of service you have come to expect from Dauntless Advisory, LLC.