Ekaton Wealth Management Inc. (NRD #42870) is registered in Ontario with the Ontario Securities Commission as an exempt market dealer, with no terms or conditions on its registration. You can confirm our registration, and that of any individual or firm, through the Canadian Securities Administrators' National Registration Search at aretheyregistered.ca. Registration does not mean that the Ontario Securities Commission has approved or endorsed Ekaton or its services.

Ekaton's registered activity is limited to introducing clients to independent, registered portfolio management firms under written referral arrangements. In this role Ekaton acts as a relationship facilitator within its planning relationship with each client. The portfolio manager a client chooses is responsible for investment advice, suitability and portfolio management. Ekaton does not hold client assets, manage portfolios or make investment decisions for clients.

Peter Mastorakos is President, Chief Executive Officer and Chief Compliance Officer of Ekaton. He is registered in Ontario as the firm's Ultimate Designated Person, Chief Compliance Officer and a dealing representative. Peter holds the CFP® certification, granted by FP Canada, and the Family Enterprise Advisor (FEA) designation, granted by Family Enterprise Canada. These are professional credentials held by Peter personally and are separate from Ekaton's securities registration. Much of our planning work, including financial, retirement, tax, estate and family enterprise planning, is delivered under these professional credentials.

We identify material conflicts of interest and address them in our clients' best interests. Ekaton may receive a referral fee from a portfolio management firm to which a client is introduced. Before any referral is made, we disclose in writing the firm involved, how the fee is calculated and who pays it. Clients are under no obligation to use any firm we introduce, and we will discuss alternatives, including options from which Ekaton receives no compensation.

Ekaton commits to:

1. act in a professional and ethical manner at all times;
2. act in the best interests of clients;
3. act with objectivity and disclose conflicts of interest;
4. act with skill, competence and diligence; and
5. communicate with clients in a timely and accurate manner.

If you have a concern about our services, please contact our Chief Compliance Officer, Peter Mastorakos, by email at info [at] ekaton [dot] ca. Our mailing address is available on request.

We will acknowledge your complaint in writing promptly, normally within five business days, investigate it fairly, and give you our decision in writing, normally within 90 days. If we need more time, we will tell you why and when to expect our response.

If you are not satisfied with our decision, or if we have not given you our decision within 90 days of receiving your complaint, you may take your complaint to the Ombudsman for Banking Services and Investments (OBSI). OBSI is an independent, not-for-profit service that resolves investment complaints. Its service is free to you.

• You must contact OBSI within 180 days of receiving our written decision.
• OBSI can recommend compensation of up to $350,000.
• Using OBSI does not stop the limitation periods for taking legal action; you may wish to obtain legal advice about your deadlines.

OBSI: www.obsi.ca  |  Toll-free 1-888-451-4519  |  Toronto area 416-287-2877  |  TTY 1-844-358-3442
20 Queen Street West, Suite 2400, P.O. Box 8, Toronto, Ontario M5H 3R3

You may also contact the Ontario Securities Commission about a concern with a registered firm.

CFP® and Certified Financial Planner® are certification trademarks owned outside the U.S. by Financial Planning Standards Board Ltd. (FPSB). FP Canada is the marks licensing authority for the CFP marks in Canada, through agreement with FPSB.