Core Planning, LLC is a registered investment adviser.

Policy

It is the firm’s policy to maintain compliant registration status at all times. This may require additional state registrations in other appropriate jurisdictions as required.

Unless otherwise permitted, Core Planning will not conduct investment advisory activity in any jurisdiction unless the firm is first registered in that jurisdiction. While most jurisdictions will allow for a “de minimis” number of clients before requiring firm registration, some jurisdictions may require registration upon taking on the first client in that jurisdiction.

Having a “place of business”, as defined by applicable regulatory statutes, in a state will require registration regardless of the number of clients in that jurisdiction.

It is the CCO’s responsibility to ensure that the firm is appropriately registered at all times.

Procedure

The firm’s CCO will:

• Monitor the state of residence of its clients to ensure the firm does not exceed the de minimis threshold for any jurisdiction;
• File updated applications to request additional state registrations when needed; and
• Complete the application process so as to ensure the firm becomes registered in the necessary jurisdictions.

Renewal

The firm’s CCO will ensure that:

• The firm’s annual renewal fees are timely paid through the IARD system every calendar year as required;
• The firm files its Form ADV Annual Amendment within 90 days of its fiscal year end; and
• The firm provides any additional paperwork or other information required on an annual basis in connection with the firm’s annual renewal filings.

Other-than-Annual Amendments

The firm’s CCO will ensure that the firm files material changes to its Form ADV and any Form U4 documents promptly, usually within 30 days if firm’s disclosure brochure becomes materially inaccurate.