• Please click here to access Fithian’s Client Relationship Summary.

  • These presentation materials (collectively, the "Material") are intended to provide a high-level overview of Fithian LLC ("Fithian"), certain of its operational and advisory programs and processes, and certain of its key personnel. Information contained in this presentation represents a simplified description of the complex process Fithian generally utilizes. Fithian is an investment adviser focused on investing globally through a long-only strategy.

    The Material does not constitute an offer to sell or a solicitation to buy any securities in any investment vehicle or a recommendation to enter into any transaction, and may not be relied upon in connection with any offer or sale of securities. Any such offer or solicitation may only be made pursuant to the Confidential Private Offering Memorandum (or similar document) for each such vehicle, which will be provided only to qualified offerees and which should be carefully reviewed prior to investing. TheMaterial does not create any obligation on Fithian to consider any offer. Fithian reserves the right, without prior notice and without giving reasons, to vary or terminate the sale process, to reject any or all proposals and/or to negotiate with any prospective purchaser on any terms (and whether individually or simultaneously with any other prospective purchaser) with respect to any transaction.

    The Material is provided for information purposes only. In addition, because this presentation is preliminary and only a high-level summary; it does not contain all material terms pertinent to an investment decision, including important disclosures of conflicts and risk factors associated with an investment advisory relationship. The Material in and of itself should not form the basis for any investment decision.

    The Material should be read in conjunction with, and is qualified in its entirety by, information appearing in the applicable prospectus, corporate or partnership governing documents, or investment advisory agreement (as applicable) for each client, which should be carefully reviewed prior to investing.

    Financial instruments and investment opportunities discussed or referenced herein may not be suitable for all prospective clients, and potential clients must make an independent assessment of the appropriateness of any transaction in light of their own objectives and circumstances, including the possible risk and benefits of entering into such a transaction.

    A client could lose all or a substantial amount of her or his investment. Returns generated from the management of a client's portfolio may not adequately compensate the client for the business and financial risks assumed. While client portfolios are subject to market risks common to other types of investments, including market volatility, Fithian employs portfolio construction methods such as managing some concentrated positions, may increase the risk of investment loss. The products and strategy in which Fithian expects to cause client portfolios to invest may involve above-average risk.

    Unauthorized reproduction or distribution of all or any of this Material or the information contained herein is strictly prohibited.

    Certain information contained in this Material constitutes "forward-looking statements," which can be identified by the use of forward-looking terminology such as "may", "will", "should", "expect", "anticipate", "target", "project", "estimate", "intend", "continue" or "believe" or the negatives thereof or other variations thereon or comparable terminology. Due to various risks and uncertainties, actual events or results or the actual policies, procedures and processes of Fithian and the performance of client portfolios may differ materially from those reflected or contemplated in such forward-looking statements and no undue reliance should be

    placed on these forward-looking statements, nor should the inclusion of these statements be regarded as Fithian' representation that client portfolios will achieve any strategy, objectives or other plans.

    The Material is believed to be reliable but no representation or warranty is made, expressed or implied, with respect to the fairness, correctness, accuracy, reasonableness or completeness of the information and opinions contained herein. Additionally, there is no obligation to update, modify or amend this Material or to otherwise notify a reader in the event that any matter stated herein, or any opinion, projection, forecast or estimate set forth herein, changes or subsequently becomes inaccurate.

    It is strongly suggested that any prospective client obtain independent advice in relation to any investment, financial, legal, tax, accounting or regulatory issues discussed herein. Analyses and opinions contained herein may be based on assumptions that if altered can change the analyses or opinions expressed. Nothing contained herein shall constitute any representation or warranty as to future performance of any financial instrument, credit, currency rate or other market or economic measure. In no event shall Fithian have any liability for direct, indirect, special, incidental, punitive, consequential (including, without limitation, lost profits) losses or any other damages resulting from the use of this Material.

    Management fees are individually negotiated for each client as set forth in an investment management agreement. Fithian, in its sole discretion, has the ability to waive, reduce or negotiate different fees among its clients.

    Past performance is not necessarily indicative of or a guarantee of future results.

    Client portfolios will not replicate any index and no guarantee is given that performance will match any index.

  • This Privacy Policy Notice describes the Firm’s policies with respect to Non-Public Personally Identifiable Information (“NPII”) of the Advisory Clients, prospective Advisory Clients and former Advisory Clients. These policies apply to individuals investing for personal, family or household purposes only and are subject to change.

    The Firm collects and maintains NPII about Advisory Clients including but not limited to the following types of information:

    • Information we receive in agreements, client or investor questionnaires and other forms which Advisory Clients complete and submit to us, such as names, addresses, phone numbers, social security numbers, and employment, asset, income and other household information;

    • Information we receive and maintain relating to an Advisory Client’s account, such as profit and loss allocations and capital withdrawals and additions;

    • Information about your account(s) or investments in and other transactions with us, including information we receive and maintain relating to new issue and other securities transactions with and through the strategy; and

    • Information we receive about an Advisory Client from the client’s purchaser representative, financial advisor, investment consultant or other financial institution with whom Fithian have a relationship and/or whom the Advisory Client may have authorized to provide such information Fithian.

    Fithian does not disclose any NPII about their Advisory Clients, prospective Advisory Clients and former Advisory Clients except as may be required or permitted by law. Fithian may disclose information about an Advisory Client, prospective Advisory Clients and former Advisory Clients to their affiliates providing services, and to other third parties, including but not limited to the following types of third parties:

    • Financial service providers such as prime broker(s) who assist Fithian as part of the ordinary course of servicing your accounts with Fithian;

    • Legal representatives of Fithian, such as our counsel, accountants and auditors;

    • Persons acting in a fiduciary or representative capacity on behalf of an individual Investor, such as an IRA custodian or Trustee of a grantor trust.

    On all occasions when it is necessary for us to share your personal information with other parties, we will require that such information only be used for the limited purpose for which it is shared and will advise these companies not to further share your information with others except to fulfill that limited purpose.

    Fithian LLC takes their responsibility to protect the privacy and confidentiality of Investor information very seriously. We maintain appropriate physical, electronic and procedural safeguards to guard Advisory Clients’ non-public personal information. We provide Advisory Clients with a Privacy Policy Notice as part of their subscription materials and annually after that.

    If Fithian materially change their privacy policies to permit Fithian or their affiliates to share additional information the Firm have about you or to permit disclosures to additional types of parties, you will be notified in advance, and, if required by law, you will be given the opportunity to consent to such disclosure, as appropriate, or opt out of such additional disclosure, or to direct us not to share your information with such parties.

    Fithian LLC has updated its Privacy policies to be compliant with General Data Privacy Regulations (GDPR).

    If you have any questions or concerns about this Privacy Policy Notice, please contact the Chief Compliance Officer at: info@fithianllc.com.