ROCKEFELLER CAPITAL MANAGEMENT L.P.

The advisory business involves a process where Private Advisors assist clients in defining their investment goals, objectives, and risk tolerance. Based on these parameters, the advisor develops an asset allocation framework and provides strategic and tactical asset allocation advice. They also recommend a variety of products, including equity securities, fixed income products, investment managers, mutual funds, exchange-traded funds, and alternative investments. Account statements are provided to ensure that the products and services align with the client's investment parameters. In Investment Consulting Arrangements, advisory clients are responsible for instructing their broker-dealer or bank custodian to execute securities transactions. The Global Family Office may assist in formulating these instructions, but the clients are responsible for ensuring accuracy, communication, and confirmation of execution. The Global Family Office does not guarantee that any broker-dealer or bank custodian will provide the best price on a particular transaction. Conflicts of interest are addressed through disclosure to clients.

The investment strategies employed by Private Advisors at Rockefeller Capital Management vary depending on each client's financial situation and risk tolerance. Advisors consider factors such as objectives, time horizon, liquidity needs, and financial goals when determining investments and allocations. Clients have access to a wide range of investment managers and strategies, including affiliated firms such as RAM. However, certain investment managers and strategies may not be available due to accessibility limitations, client demand, or due diligence and capacity considerations. Private Advisors utilize various market research, portfolio modeling, and other tools to inform their investment advice. Each advisor has their own unique research methods, investment styles, and management philosophy, leading to varying investment strategies and advice. The investment advisory process typically involves defining client goals and risk tolerance, developing an asset allocation framework, and providing recommendations on a variety of products, including equity securities, fixed income products, investment managers, mutual funds, and alternative investments.

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