STOUT RISIUS ROSS ADVISORS, LLC

BUSINESS CONTINUITY SUMMARY STATEMENT

Stout Risius Ross Advisors, LLC has developed a Business Continuity Plan for how we will respond to events that significantly disrupt our business. Because the timing and impact of disasters and disruptions is unpredictable, we will be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our Business Continuity Plan. 

Contacting Us:

If after a significant business disruption you cannot contact us via email or at the Detroit & Chicago office numbers at +1.248.208.8800 & +1.312.857.9000, respectively, please call our alternate number +1.800.797.4803 or go to our web site at stout.com.  

Our Business Continuity Plan:

We plan to quickly recover and resume business operations after a significant business disruption and will respond by safeguarding our employees and property, making a financial and operational assessment, protecting Stout Risius Ross Advisors, LLC’s books and records, and allowing our clients and investors to transact business. In short, our Business Continuity Plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our Business Continuity Plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

We back up important records to a secure, off-site location. While every emergency situation poses unique problems, such as time-of-day and the severity of the disruption, we possess the capabilities to restore our operations and critical business data in under one business day. Your communications with us may be disrupted until such time as our data is restored.

Varying Disruptions:

Significant business disruptions can vary in their geographic scope and the severity of the disruption. In a disruption to only our firm or office building, we will transfer our operations to a local site when needed and expect to recover and resume business within one business day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within two business days. In either situation, we plan to continue business and will notify you through our web site at stout.com. If the significant business disruption is so severe that it prevents us from remaining in business, we will notify our client’s via telephone and post information and updates on our web site.

For more information: If you have questions about our business continuity planning, you can contact us at +1.248.208.8800 or +1.312.857.9000.