Business Continuity Plan Statement

AZA Capital Management is committed to providing our clients with professional and timely service. This commitment includes providing information regarding plans to address disruptions in our business operations due to power outages, natural disasters or other significant events. In the event of a disruption, AZA has a comprehensive Business Continuity Plan that is intended to permit the firm to maintain business operations as close to normal as is possible, as quickly as possible.

Examples of what might occur if we were to experience a business disruption of varying scope and magnitude:

• If our main telephone service were to become unavailable for any reason, calls would be forwarded to advisor cell phones or to another office, such as Chicago.
• In the event that our primary data center was to become unavailable for any reason, we would transition to a separate back-up location.

In the event of any disruption of service, the client would be notified by phone or by electronic mail within the shortest amount of time possible.

Although AZA Capital Management has taken significant steps to develop and implement sound business disaster recovery practices, after a significant business disruption, the client may still experience a gap in communication as the firm recovers. We will continue to assess, update and test our plans to ensure that AZA’s plans are robust and consistent with all of the best practices in the industry. Any modifications to this plan will be reflected in our Business Continuity and Contingency Plan Statement, which will be posted on our website, or you may obtain a copy of the current version by calling us at (248) 687-7200 or writing to, AZA Capital Management, Compliance Department, 755 West Big Beaver Road, Suite 1275, Troy, MI 48084.