Compliance

Unitifi Compliance Disclosure

Effective Date: June 30, 2026

This Compliance Disclosure (“Disclosure”) governs your access to and use of the Unitifi website located at unitifi.com and the Unitifi financial behavior assessment platform (collectively, the “Platform”). Please read it carefully. By accessing the website or using the Platform, you acknowledge that you have read, understood, and agree to the terms set out below.

1. No Investment, Financial, Legal, Accounting, or Tax Advice

Unitifi provides a financial behavior assessment platform designed to help financial advisors and firms better understand client behavior. The behavioral assessments, investor profiles, risk-related insights, and any other outputs generated by the Platform do not constitute financial, investment, legal, accounting, or tax advice.

Nothing on this website or within the Platform should be interpreted as a recommendation to buy, sell, or hold any security, or to adopt, maintain, or abandon any investment strategy. Unitifi is not a registered investment adviser, broker-dealer, or fiduciary, and does not provide advisory services to end investors. Always consult a qualified professional before making financial, investment, legal, accounting, or tax decisions.

2. Informational and Educational Purposes Only

All content on this website and within the Platform is provided for general educational and informational purposes only. It is not intended to be relied upon as the primary basis for any investment, financial, business, or legal decision. Content may be updated, revised, or removed at any time without notice, and Unitifi makes no commitment to update any information after the date it is published.

3. No Guarantee of Results

Assessment outputs, behavioral profiles, and risk-related scores are based on the information provided and Unitifi’s proprietary methodology. These results are intended to support — not replace — the professional judgment of a licensed advisor or firm.

• Results are not predictions or guarantees of future performance, market outcomes, or how any individual will act under actual financial conditions.

• Results may vary and should always be considered alongside other relevant information.

• Any accuracy figures referenced in Unitifi materials describe the performance of the methodology in identifying behavioral attributes and should not be interpreted as a guarantee of investment results or client behavior.

Unitifi disclaims all warranties, express or implied, regarding the accuracy, completeness, reliability, or fitness for a particular purpose of any output generated by the Platform, to the fullest extent permitted by law.

4. Regulatory Compliance Limitation

Unitifi’s Platform, tools, and privacy practices are not intended to, and do not by themselves, guarantee satisfaction of any SEC, FINRA, suitability, recordkeeping, or other regulatory obligations applicable to financial advisors or firms.

Use of the Platform does not establish compliance with any legal or regulatory requirement. While the Platform may support documentation of certain compliance-related activities — such as customer due diligence, suitability, and know-your-client processes — the responsibility for meeting all applicable regulatory obligations rests solely with the advisor or firm using the Platform. Unitifi makes no representation that use of the Platform will satisfy the requirements of any regulator, self-regulatory organization, or governing body.

5. Third-Party Integrations and References

Unitifi integrates with and references certain third-party providers. These are independent companies that are not owned or controlled by Unitifi.

• The inclusion or referencing of any third party does not constitute an endorsement, recommendation, or guarantee of that party’s products or services.

• Unitifi is not responsible for the products, services, content, availability, privacy practices, or security practices of any third party.

• Any use of a third-party platform is governed by that provider’s own terms, policies, and notices, which you should review independently.

• Unitifi is not a party to any relationship between you and any third-party provider, and all matters relating to such relationships are strictly between you and the applicable provider.

Third-party marks referenced within the Platform or on this website are the property of their respective owners.

6. Advisor and Firm Responsibility

Financial advisors and firms that access or use the Platform are solely responsible for their own regulatory compliance, suitability determinations, recordkeeping obligations, licensing, and client relationships.

Advisors and firms remain independently responsible for:

• Complying with all applicable federal, state, and self-regulatory requirements, including those of the SEC and FINRA.

• Following their own firm’s internal policies, procedures, and supervisory guidelines.

• Determining the suitability of any investment strategy or recommendation for their clients.

• Interpreting and applying any insights generated by the Platform in a manner consistent with their professional and regulatory obligations.

• Maintaining appropriate safeguards for their own systems, devices, networks, and credentials.

Nothing provided through the Platform should be construed as permission to supersede or circumvent any firm, broker-dealer, or regulatory policy, procedure, rule, or guideline.

7. Data Security and Privacy Practices

Unitifi maintains reasonable safeguards designed to help protect personal information from unauthorized access, loss, misuse, disclosure, alteration, or destruction. These safeguards may include administrative, technical, and organizational measures appropriate to the nature of the information and how it is processed.

Although Unitifi takes steps to protect personal information, no method of transmission, storage, or security can be guaranteed to be completely secure. Users are encouraged to take appropriate precautions to protect their account information and devices.

Unitifi’s security practices apply to information within its systems and under its control. Financial advisory firms and other third parties that access or use the Platform are independently responsible for maintaining appropriate safeguards for their own systems, devices, networks, and credentials. Unitifi is not responsible for the privacy or security practices of third parties outside its control.

8. Limitation of Liability

To the fullest extent permitted by applicable law, Unitifi and its affiliates, officers, employees, and agents shall not be liable for any direct, indirect, special, incidental, punitive, or consequential damages — including loss of profits, data, or goodwill — arising out of or relating to your access to or use of the Platform, any content within it, or any reliance placed on outputs generated by it. The Platform and all content are provided on an “as-is” and “as-available” basis.

9. Jurisdiction

The information provided on this website and within the Platform is intended for use in the United States. It is not a solicitation for, or an offering of, any product or service to any person in any jurisdiction where such solicitation or offering would be unlawful.

10. Changes to This Disclosure

Unitifi may update or modify this Disclosure from time to time. Any changes will be effective upon posting, and the “Effective Date” above will be revised accordingly. Your continued use of the website or Platform after any change constitutes acceptance of the updated Disclosure.

11. Contact

If you have questions about this Compliance Disclosure, please contact:

Unitifi

info@unitifi.com

12020 Shamrock Plaza #200

Omaha, NE 68154