BCP Disclosure Statement

PEP Advisory LLC Business Continuity Plan

PEP Advisory LLC has developed a Business Continuity Plan detailing how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are unpredictable, we remain flexible in responding to actual events as they occur. With this in mind, we are providing you with information about our Business Continuity Plan.

Contacting Us

If, after a significant business disruption, you cannot contact us as you usually do at 713-804-7575, you should call our alternative number 281-661-1747 or visit our website at www.PickeringEnergyPartners.com.

Our Business Continuity Plan

We aim to quickly recover and resume business operations after a significant disruption by safeguarding our employees and property, making financial and operational assessments, protecting the firm’s books and records, and allowing our clients to continue conducting business. In summary, our Business Continuity Plan is designed to help our firm resume operations as quickly as possible, considering the scope and severity of the disruption.

Our Business Continuity Plan covers:

• Data backup and recovery

• All mission-critical systems

• Financial and operational assessments

• Alternate communications with clients, employees, and regulators

• Alternate physical locations for employees

• Impact on critical suppliers, contractors, banks, and counterparties

• Regulatory reporting

• Ensuring clients have prompt access to their funds and securities if we are unable to continue business

Varying Disruptions

Significant business disruptions may vary in scope, affecting just our office, the city where we are located, or an entire region. The severity can range from minimal to severe. In the event of such a disruption, we have plans to relocate to a back-up or remote location as necessary.

For More Information

If you have any questions about our Business Continuity Plan, please contact us at 713-804-7575.

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