Darrell Ward Cain

MR. CAIN HAS A MINORITY OWNERSHIP INTEREST IN TECTONIC FINANCIAL, INC., A PUBLICLY TRADED ENTITY THAT OWNS THE FOLLOWING FINANCIAL INDUSTRY AFFILIATES: TECTONIC ADVISORS LLC; HWG INSURANCE AGENCY, LLC; SANDERS MORRIS HARRIS LLC; AND T BANK, N.A. THE BANK SERVES AS CUSTODIAN FOR SOME CWA CLIENTS. MR. CAIN RECEIVES ADDITIONAL INDIRECT COMPENSATION IN THE FORM OF A SHARE OF PROFITS FROM THESE ENTITIES. MR. CAIN SPENDS LESS THAN 5% OF HIS TIME ON MANAGEMENT, ADMINISTRATION AND/OR DEVELOPMENT OF THESE RELATED ENTITIES DURING TRADING HOURS. IN ADDITION, MR. CAIN MAINTAINS AN OWNERSHIP INTEREST IN EACH OF THREE ENTITIES RELATED TO CWA; NATIONAL DENTAL PLACEMENTS, LLC (NDP), BEST NEW PATIENTS, LLC (BNP) AND ELITE DENTAL ALLIANCE (EDA). EACH OF THESE ENTITIES IS LOCATED WITHIN THE PLANO HEADQUARTERS OF CWA. THE ENTITIES PROVIDE ADDITIONAL SERVICES OR REFERRALS SPECIFICALLY RELATED TO THE CLIENTS BUSINESS OR INDUSTRY. NONE OF THE SERVICES RECOMMENDED ARE INVESTMENT RELATED, BUT COULD BE RECOMMENDED DURING THE FINANCIAL AND BUSINESS PLANNING PROCESS. MR. CAIN MAY REFER CLIENTS TO THESE ENTITIES DIRECTLY MR. CAIN SPENDS LESS THAN 5% OF HIS TIME ON MANAGEMENT, ADMINISTRATION AND/OR DEVELOPMENT OF THE AFFILIATED ENTITIES DURING TRADING HOURS.