Googins & Anton, Inc.

Documentation
As investment advisors, our documentation is available on request, including:

• Uniform Application for Investment Advisor Registration
• Investment Advisory and Management Services Agreement
• Fee Schedule
• SEC Registration
• ADV Part II and Schedules

Please contact us to request copies of documentation.

Business Continuity Disclosure Statement
Googins & Anton, Inc. has a Business Continuity Plan (BCP) in place to prepare for the possibility of a future significant business disruption (SBD). A SBD may range in severity from a firm only disruption, such as a fire or a power outage, to a regional disruption, such as a natural disaster or a terrorist attack.

In the event of a firm only disruption, Googins & Anton, Inc. has a functional offsite facility locally providing an alternative location from which we can reasonably operate under such a SBD. This facility contains duplicate equipment and telecommunications services, and space for staff to perform critical business functions. Googins & Anton, Inc. expects to be able to resume business within four hours of this type of event. Clients would continue to be able to contact us by phone at (608) 836-3229. Other numbers to call in case the above number is not working are: (608) 833-0050, (608) 513-1551.

If a larger scale disruption occurs, such as a city-wide or regional disruption, Googins & Anton, Inc. will re-establish operations at another site. Googins & Anton, Inc. recovery time frame will depend on the severity and significance of the event.

Googins & Anton, Inc. maintains a relationship with Saxony Securities as well as many mutual fund companies. We fully introduce your accounts to either Saxony Securities or the custodian of the mutual fund company. They, in turn, maintain your account and settle your transactions on your behalf. In the event that you are unable to contact Googins & Anton, Inc. due to an SBD, Saxony Securities may be contacted directly at (314) 963-9336 to process limited trade-related transactions, cash disbursements and security transfers if your account is held there. If your account is held at the mutual fund company, you may call the mutual fund company directly. Please use the number on your statement. If you do not have a phone number, please visit our website which directs you to the mutual fund companies website through the links icon.

Googins & Anton, Inc.'s BCP is subject to modification. This plan and any updates will be promptly posted to our website at www.googins.com. Clients may alternatively obtain updated summaries by requesting a written copy by mail.