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Compliance Documentation

Important Disclosures

Firm Information:

Marquette Asset Management, LLC d/b/a Marquette Wealth Management (“Marquette”) is a Minneapolis-based investment advisor registered with the Securities and Exchange Commission under the Investment Advisers Act of 1940. Marquette and its representatives are in compliance with the current filing requirements imposed upon SEC-registered investment advisers and by those states in which it maintains clients. Marquette may transact business only in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements.

Marquette’s website is intended to provide general information related to its advisory and wealth management services. Accordingly, the website should not be construed by any client and/or prospective client as a solicitation to render personalized investment advice for compensation. Any subsequent, direct communication by Marquette with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to Marquette’s registration status, please contact the SEC (http://www.adviserinfo.sec.gov/) or Marquette’s compliance department (cco@marquettewm.com). A copy of Marquette’s current Form ADV Parts 2, A and B, discussing its business operations, services and fees is available here. A copy of Marquette’s Form CRS, Client Relationship Summary is available here.

Certain parts of Marquette’s website may contain a discussion of, and/or provide access to, its positions (and those of other professionals) as of a specific prior date. For various reasons, including changing market conditions, such discussion may no longer reflect the firm’s current position. Furthermore, such newsletters, articles, commentaries, etc. do not serve as the receipt of, or a substitute for, personalized advice from Marquette or any other professional.

Marquette may provide its clients with access to online tools that are intended to enable them to view their accounts managed by Marquette along with those held at other financial institutions. Such tools may enable Marquette to model possible outcomes of certain financial decisions. However, Marquette is neither an attorney nor an accountant, and no portion of the website content should be interpreted as legal, accounting, or tax advice. Planning in the areas of insurance, law, tax, and accounting requires the advice of an experienced professional trained in the area under consideration. Marquette recommends that clients engage an outside professional trained in the matters discussed in any Marquette materials before undertaking any action.

Marquette does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to its website or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes, and users should be guided accordingly.

Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken by Marquette) will be profitable or equal any historical performance level(s). Historical performance results for investment indexes and/or categories generally do not reflect the deduction of transaction and/or custodial charges or the deduction of an investment management fee. Such expenses would decrease historical performance results.

Custody Services:

Marquette uses Charles Schwab & Company, Inc. (Schwab) as the qualified custodian for client investment management accounts unless the client directs otherwise.

Customer Identification Verification Disclosure:

To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. Therefore, Marquette will ask for each client’s name, address, date of birth, social security number/tax identification number, and other identifying information. To guard against electronic identity theft, Marquette will request or send such personal identification information only by secure or encrypted email.

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