LOHI SECURITIES PRIVACY POLICY

LoHi Securities is a FINRA registered broker-dealer. LoHi recognizes that protecting the privacy and security of the confidential personal information we collect about you is an important responsibility. The following information will help you understand our privacy policy and how we handle and maintain confidential personal information as we fulfill our obligations to protect your privacy. "Personal information" refers to the nonpublic financial and personal information obtained by us in connection with providing you a financial product or service. In the event you terminate your customer relationship with us, or become an inactive customer, we will continue to adhere to the policies and practices described in this notice.

Information We Collect About You: 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.

What this means for you: When you make an investment through LoHi, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents. We collect personal information to help us serve your financial needs, offer new products or services, provide customer service and fulfill legal and regulatory requirements. The type of information that we collect varies according to the products or services involved.

WE DO NOT SELL OR RENT YOUR PERSONAL INFORMATION TO ANYONE

We do not disclose nonpublic personal information about current or former customers to any non-affiliated third parties unless required by law, or for certain limited purposes as permitted by law. In the normal course of business, personal information may be shared with persons or entities involved in servicing and administering products and services on our behalf, including: your consultants, prime broker, counsel, custodian/administrator, investment advisor or any other named fiduciary of your account or other service providers and affiliates assisting us.

We Protect Your Information: We maintain strict practices and procedures that limit access to personal information to those employees and service providers who need to know such information in order to perform business services on our behalf. We educate our employees on the importance of protecting the privacy and security of confidential personal information. We also maintain physical, electronic and procedural safeguards that comply with federal and state regulations to safeguard your personal information.

We will update our policy and procedures where necessary to ensure that your privacy is maintained and that we conduct our business in a way to fulfill our commitment to you. If we make any material changes in our privacy policy, we will make that information available to customers through our web site at www.lohibd.com and/or other communications. If you should have any questions or concerns regarding our policy, please contact CCO Bobbi Babitz at 720-465-5305 or at bobbi@lohicap.com.

LOHI SECURITIES BUSINESS CONTINUITY PLAN

LoHi Securities is a FINRA registered broker dealer and member SIPC.

LoHi has developed a business continuity plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur.

If after a significant business disruption you cannot contact us as you usually do at 720-465-5305, you should contact Chief Compliance Officer Bobbi Babitz at 303-717-9869 or bobbi@lohicap.com or Principal Brett Story at 720-345-2393 or brett@lohicap.com.

We plan to quickly recover and resume business operations after a significant business disruption and will respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the business disruption.

Our business continuity plan addresses: data backup and recovery; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; and regulatory reporting. We do not have any mission critical systems and we do not hold customer funds or securities, therefore customer access to their funds or securities will not be impacted if we are unable to continue our business.

Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within one business day. In a disruption affecting our business district, city, or region, we will attempt to transfer our operations to a site outside of the affected area, and recover and resume business within 5 business days. In either situation, we plan to continue in business, and notify you through our website www.lohibd.com or our customer emergency number, 720-465-5305, how to contact us.

If you have questions about our business continuity planning, you can contact us at 720-465-5305 or our Chief Compliance Officer Bobbi Babitz at bobbi@lohicap.com.