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Office Locations
Our office address and phone number are:
245 Waterman Street, Suite 301, Providence, Rhode Island, 02906
(401) 453-5550

11295 FM 1565, Poetry, TX, 75160
972-563-8990
We engage in client servicing, order taking and entry at these locations.

Alternative Physical Location(s) of Employees
In the event of an SBD that makes it impossible or impractical to use any or all of the company offices, we will
move our staff from affected offices to the closest of our unaffected office locations.

If none of our other office locations is available, we will move the firm operations to:

Either the Providence or Poetry offices, whichever is not affected.

In the event both are affected, then John Riley’s home laptop will be the base of operations since it can be moved
to a secure internet. Communication will be done by cell phone. John Riley’s Cell: 401-225-2439

The Providence office’s phones can remotely be forwarded to either John or Kara’s cell phones.

Clients’ Access to Funds and Securities
Our firm does not maintain custody of clients’ funds or securities, which are maintained at our custodian firm. In
the event of an internal or external SBD, if telephone service is available, our investment adviser representatives
will take customer orders or instructions and contact our brokerage firm on their behalf, and if our Web access is
available, our firm will post on our Web site ( www.cornerstoneri.com ) that clients may access their funds and
securities by contacting their rep.

Data Back-Up and Recovery (Hard Copy and Electronic)
Our firm maintains its primary hard copy books and records and its electronic records at:
245 Waterman Street, Suite 301,
Providence,
Rhode Island, 02906
(401) 453-5550

11295 FM 1565
Poetry, TX, 75160
(972)-563-8990

John J. Riley is responsible for the maintenance of these books and records. Our firm sends all paperwork and
client documents, including New Account forms, Client Contracts and other related documents to our RIA’s
custodian for the purposes of opening the accounts, and also maintains copies in each clients files electronically.
Compliance reviews the electronically stored documents.

The firm backs up its electronic records monthly by backing the data up on external encrypted hard drives.

Significant Business Disruptions (SBDs)
Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our firm’s ability to
communicate and do business, such as a fire in our building or the death of a key member of the firm. External
SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood,
or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations
and systems, such as the brokerage firm(s) we use.

Approval and Execution Authority
John J. Riley, a supervisory person, is responsible for approving the plan and for conducting the required annual
review.