Compliance Disclosure

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This material is for informational purposes only and is not intended to be an offer or solicitation to purchase or sell any security or to employ a specific investment strategy. It is intended solely for the information of those to whom it is distributed by Fieldpoint Private. No part of this material may be reproduced or retransmitted in any manner without prior written permission of Fieldpoint Private. Fieldpoint Private does not represent, warrant or guarantee that this material is accurate, complete or suitable for any purpose and it should not be used as the sole basis for investment decisions. The information used in preparing these materials may have been obtained from public sources. Fieldpoint Private assumes no responsibility for independent verification of such information and has relied on such information being complete and accurate in all material respects. Fieldpoint Private assumes no obligation to update or otherwise revise these materials. This material does not purport to contain all of the information that a prospective investor may wish to consider and is not to be relied upon or used in substitution for the exercise of independent judgment and careful consideration of the investor’s specific objectives, needs and circumstances. To the extent such information includes estimates and forecasts of future financial performance, such estimates and forecasts may have been obtained from public or third party sources. Fieldpoint Private has assumed that such estimates and forecasts have been reasonably prepared on based on the best currently available estimates and judgments of such sources or represent reasonable estimates. Any pricing or valuation of securities or other assets contained in this material is as of the date provided as prices fluctuate on a daily basis. Past performance is not a guarantee of future results. Asset allocation models are based on capital market expectations for each classification and segment using a thirty (30) year time-series of historical returns and standard deviations. Returns and risk assumptions may vary from historical averages based on prevailing market conditions, Fieldpoint Private’s macroeconomic assumptions, and changes to assumptions including state and federal income tax rates, among others. These models and the information contained in these materials has been prepared from sources believed to be reliable, but is not guaranteed by Fieldpoint Private as to its accuracy or completeness.

Asset allocation models represent the views of Fieldpoint Private’s investment professionals and are based on their broad investment knowledge, experience, research and analysis. However, market conditions, strategic approaches, return projections and other key factors upon which the views presented in these materials are based remain subject to fluctuations and change. Consequently, it must be noted that no one can accurately predict the future of the market with certainty or guarantee future investment returns or performance. The models displayed herein represent hypothetical performance and do not represent actual investments or the performance of any investment account or results of actual trading. These hypothetical models may have certain inherent limitations. Modeled returns and past performance are no guarantee of future results. Models are based on pre-tax data.

Fieldpoint Private does not provide legal or tax advice. Nothing contained herein should be construed as tax, accounting or legal advice. Prior to investing you should consult your accounting, tax, and legal advisors to under-stand the implications of such an investment. You may disclose to any and all persons, without limitation of any kind, the tax treatment and tax structure of any transactions contemplated by these materials and all materials of any kind, (including opinions or other tax analyses), that are provided to you relating to such tax treatment and structure. For this purpose, the tax treatment of any transaction is the purported or claimed U.S. federal income tax treatment of the transaction and the tax structure of a transaction is any fact that may be relevant to under-standing the purported or claimed U.S. federal income tax treatment of the transaction.

Wealth management, registered investment advisory, and securities brokerage services offered by Fieldpoint Private Securities, LLC. Such services and/or any non-deposit investment products which ultimately may be acquired as a result of Fieldpoint Private’s investment advisory services:



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