Page 78 - P&P11-05-2020-with-FAQ-JR

78

Information Security Policy

CIS has appointed John Riley as the firm’s Chief Information Security Officer (“CISO”). The CISO is responsible for
managing CIS’s information security program.

Access Persons
Access persons include any of CIS’s supervised persons who have access to non-public information regarding any
client’s purchase or sale of securities, or information regarding the portfolio holdings of any reportable fund, or
who is involved in making securities recommendations to clients, or who has access to such recommendations that
are non-public.
The following employee(s) will manage non-public information:
Name Title
John Riley Operating Manager
Kara Kelleter Office Manager
Michael Curtis VP Managed Accounts

The following individuals also have access to this nonpublic information:
Name Title
Donna Stiness – Office Assistant
Susan Riley – Compliance Assistant

The following former employees also have, or have had in the past five years, access to this nonpublic information:
Name Title Date Terminated Notes, if any
Desiree Dube Assistant 03/15/2020

Inventory of Technology Infrastructure
On an annual basis, the CISO of CIS will make an inventory of the following:
● Physical devices and systems (computers, servers, etc.);
● Software platforms and applications (email applications, file management, etc.);
● Systems that house client data; and
● Third-party contractors that have access to systems, platforms, etc.

CIS’s primary software platforms that may contain client data are summarized below.
Type of System Name of System
Customer Relationship Management (CRM) Redtail
Financial Planning NA
Reporting / Portfolio Management Black Diamond
Email Provider / Hosting GSuite
Email / Social Media Archiving Global Relay
Document Management / Storage WDC Backup
Portfolio Risk Management Riskalyze

CIS utilizes cloud-based technology systems, which it believes provide increased information security capabilities
including:
● Ability to leverage the established infrastructure of trusted technology industry leaders; and
● Improved system alert capabilities including better user activity logging and alerts related to unusual user
activity.

CIS also recognizes that cloud-based technology systems create a greater reliance on passwords and user login
security. In particular, CIS understands that certain users with administrative access to the firm’s cloud-based