Core Planning, LLC is an SEC registered investment adviser.

Policy

It is the firm’s policy to maintain compliant registration status at all times. This may require additional state notice filings in other appropriate jurisdictions as required.

Unless otherwise permitted, Core Planning will not conduct investment advisory activity in any jurisdiction unless the firm is first registered or notice filed in that jurisdiction.

Having a “place of business”, as defined by applicable regulatory statutes, in a state will require registration regardless of the number of clients in that jurisdiction.

It is the CCO’s responsibility to ensure that the firm is appropriately registered at all times.

Procedure

The firm’s CCO will:

• Monitor the state of residence of its IARs and clients notice file appropriately when needed

Renewal

The firm’s CCO will ensure that:

• The firm’s annual renewal fees are timely paid through the IARD system every calendar year as required;
• The firm files its Form ADV Annual Amendment within 90 days of its fiscal year end; and
• The firm provides any additional paperwork or other information required on an annual basis in connection with the firm’s annual renewal filings.

Other-than-Annual Amendments

The firm’s CCO will ensure that the firm files material changes to its Form ADV and any Form U4 documents promptly, usually within 30 days if firm’s disclosure brochure becomes materially inaccurate.

Firm Policy

It is the firm’s policy to make the necessary filings. It is the CCO’s responsibility to be familiar with the various filings and to ensure that the firm has made the appropriate filings in a timely manner.