Business Continuity Plan Statement

ICG Advisors, LLC (“ICG”) is committed to providing our clients with the highest level of service including reliable and secure access to their accounts. As part of this commitment, ICG maintains a Business Continuity Plan (the “Plan”) that specifically addresses how ICG will react and recover from events that may significantly disrupt our business. This Plan includes specific procedures to address disruptions in business operations as a result of power outages, natural disasters, and other significant events. The Plan is intended to facilitate ICG’s continued business operations such as processing client transactions, providing access to funds and securities maintained with the client’s designated custodian(s), protecting ICG’s books and records and safeguarding our employees and property.

The Plan addresses, among other things: data back-up and recovery; 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 ICG is unable to continue its’ business.

Business disruptions and the degree of severity can vary in their size and scope. In the event of a significant business disruption ICG plans to continue business operations and will notify you via our web site or our customer emergency number, (424) 270-8900, on how to contact us and the time frame that we expect to resume business operations. If the business disruption is so severe that it prevents us from remaining in business, we will ensure our customer’s prompt access to their funds and securities.

If you have questions about our Business Continuity Plan, please contact our Chief Compliance Officer at (424) 270-8936 or email apetchenick@icgadvisors.com.