Safeguarding your personal confidential information is something that we at RollingWave Capital, LLC. take very seriously. During the normal course of business, we do collect a great deal of nonpublic personal information about you. Examples of this are the asset, liability and income information that we collect in establishing your account relationship, along with such additional information as your mail and e-mail addresses, social security numbers, telephone and FAX numbers. In addition we might also collect information and data concerning your financial and estate plans. On an on going basis, we maintain information regarding the trading activity in your account and your monthly account statement. You have entrusted us with this very important information and there is nothing more valuable to us than your trust. In return, we are committed to the following principles:

We do not sell or barter your personal information to any outside person or organization. We do not reveal your personal information to anyone outside of RollingWave Capital, LLC unless we have received proper authorization or direction from you to do so, or we are required or permitted to do so for one or more of the following reasons:

To comply with written legal court orders, etc.

To comply with a verifiable government agency verbal and/or written request when warranted by governing regulations or audits (i.e., SEC).

To comply with a verifiable self regulating authority's verbal and/or written request when warranted by governing regulations or audits (i.e., NASD, etc).

To applicable mutual fund companies for the establishment and maintenance of an account.

To statement auditors (on a very limited basis) in the auditing of accounts for net performance purposes only. The auditors will not have access to any client information that is not printed on the client's monthly or annual statements. To comply with a client's written request to do so.

We maintain physical, electronic, and procedural safeguards that comply with widely accepted standards to guard your nonpublic personal information. All of our employees are governed by a Code of Ethics and a Security Policy that include the responsibility to protect the confidentiality of client personal information.

Changes to our Privacy Notice: Our policy about obtaining and disclosing information may change from time to time. We will provide you with notice of any material change to this policy before we implement the change.