Portfolio Management

DNA Financial offers ongoing portfolio management services based on the individual goals, objectives, time horizon, and risk tolerance of each client. DNA Financial creates an Investment Policy Statement for each client, which outlines the client’s current situation (income, tax levels, and risk tolerance levels). Portfolio management services include, but are not limited to, the following:

• Investment strategy • Personal investment policy

• Asset allocation • Asset selection

• Risk tolerance • Regular portfolio monitoring

DNA Financial evaluates the current investments of each client with respect to their risk tolerance levels and time horizon. DNA Financial will request discretionary authority from clients in order to select securities and execute transactions without permission from the client prior to each transaction. Risk tolerance levels are documented in the Investment Policy Statement, which is given to each client.

DNA Financial seeks to provide that investment decisions are made in accordance with the fiduciary duties owed to its accounts and without consideration of DNA Financial economic, investment or other financial interests. To meet its fiduciary obligations, DNA Financial attempts to avoid, among other things, investment or trading practices that systematically advantage or disadvantage certain client portfolios, and accordingly, DNA Financial's policy is to seek fair and equitable allocation of investment opportunities/transactions among its clients to avoid favoring one client over another over time. It is DNA Financial's policy to allocate investment opportunities and transactions it identifies as being appropriate and prudent, including initial public offerings ("IPOs") and other investment opportunities that might have a limited supply, among its clients on a fair and equitable basis over time.