SUNRISE FINANCIAL SERVICES LLC

F O R M A D V P A R T 2 A D I S C L O S U R E B R O C H U R E Sunrise Financial Services LLC Office Address: 431 SW Ambaum Blvd Burien, WA 98166 Tel: 206-420-8520 Fax: 206-374-2769 Email: advisor@sunrisefinancial.net April 15, 2026 This brochure provides information about the qualifications and business practices of Sunrise Financial Services LLC. Being registered as an investment adviser does not imply a certain level of skill or training. If you have any questions about the contents of this brochure, please contact us at 206-420-8520. The information in this brochure has not been approved or verified by the United States Securities and Exchange Commission, or by any state securities authority. A D D I T I O N A L I N F O R M A T I O N A B O U T S U N R I S E F I N A N C I A L S E R V I C E S L L C ( C R D # 3 2 5 9 5 5 ) I S A V A I L A B L E O N T H E S E C ’ S W E B S I T E A T W W W . A D V I S E R I N F O . S E C . G O V  Item 2: Material Changes Annual Update The Material Changes section of this brochure will be updated annually or when material changes occur since the previous release of the Firm Brochure. Material Changes since the Last Update Since the last filing of this brochure on February 12, 2026, the following has been updated: • Item 4 has been updated to disclose non-discretionary asset management is an option only for 529 plans. Full Brochure Available This Firm Brochure being delivered is the complete brochure for the Firm.  Item 3: Table of Contents Form ADV – Part 2A – Firm Brochure Item 1: Cover Page Item 2: Material Changes .................................................................................................................... ii Annual Update ................................................................................................................................................................... ii Material Changes since the Last Update.................................................................................................................. ii Full Brochure Available .................................................................................................................................................. ii Item 3: Table of Contents ................................................................................................................... iii Item 4: Advisory Business .................................................................................................................. 1 Firm Description ............................................................................................................................................................... 1 Types of Advisory Services ........................................................................................................................................... 1 Client Tailored Services and Client Imposed Restrictions ............................................................................... 2 Wrap Fee Programs ......................................................................................................................................................... 2 Client Assets under Management .............................................................................................................................. 2 Item 5: Fees and Compensation ....................................................................................................... 3 Method of Compensation and Fee Schedule .......................................................................................................... 3 Client Payment of Fees ................................................................................................................................................... 5 Additional Client Fees Charged ................................................................................................................................... 5 Prepayment of Client Fees ............................................................................................................................................ 5 External Compensation for the Sale of Securities to Clients ........................................................................... 5 Item 6: Performance-Based Fees and Side-by-Side Management ........................................ 6 Sharing of Capital Gains ................................................................................................................................................. 6 Item 7: Types of Clients ....................................................................................................................... 6 Description .......................................................................................................................................................................... 6 Account Minimums .......................................................................................................................................................... 6 Item 8: Methods of Analysis, Investment Strategies and Risk of Loss ................................ 6 Methods of Analysis ......................................................................................................................................................... 6 Investment Strategy ........................................................................................................................................................ 8 Security Specific Material Risks .................................................................................................................................. 8 Item 9: Disciplinary Information ................................................................................................... 11 Criminal or Civil Actions ............................................................................................................................................. 11 Administrative Enforcement Proceedings .......................................................................................................... 11  Self- Regulatory Organization Enforcement Proceedings ............................................................................ 11 Item 10: Other Financial Industry Activities and Affiliations ............................................. 11 Broker-Dealer or Representative Registration ................................................................................................. 11 Futures or Commodity Registration ...................................................................................................................... 11 Material Relationships Maintained by this Advisory Business and Conflicts of Interest ................ 12 Recommendations or Selections of Other Investment Advisors and Conflicts of Interest ............. 12 Item 11: Code of Ethics, Participation or Interest in Client Transactions and Personal Trading ................................................................................................................................................... 12 Code of Ethics Description ......................................................................................................................................... 12 Investment Recommendations Involving a Material Financial Interest and Conflict of Interest. 13 Advisory Firm Purchase of Same Securities Recommended to Clients and Conflicts of Interest 13 Client Securities Recommendations or Trades and Concurrent Advisory Firm Securities Transactions and Conflicts of Interest .................................................................................................................. 13 Item 12: Brokerage Practices ......................................................................................................... 13 Factors Used to Select Broker-Dealers for Client Transactions ................................................................. 13 Aggregating Securities Transactions for Client Accounts ............................................................................. 14 Item 13: Review of Accounts ........................................................................................................... 15 Schedule for Periodic Review of Client Accounts or Financial Plans and Advisory Persons Involved ............................................................................................................................................................................. 15 Review of Client Accounts on Non-Periodic Basis ........................................................................................... 15 Content of Client Provided Reports and Frequency ........................................................................................ 15 Item 14: Client Referrals and Other Compensation ................................................................ 15 Economic Benefits Provided to the Advisory Firm from External Sources and Conflicts of Interest ............................................................................................................................................................................... 15 Advisory Firm Payments for Client Referrals .................................................................................................... 15 Item 15: Custody .................................................................................................................................. 15 Account Statements ...................................................................................................................................................... 15 Item 16: Investment Discretion ..................................................................................................... 16 Discretionary Authority for Trading...................................................................................................................... 16 Item 17: Voting Client Securities ................................................................................................... 17 Proxy Votes ...................................................................................................................................................................... 17 Item 18: Financial Information ...................................................................................................... 17 Balance Sheet .................................................................................................................................................................. 17  Financial Conditions Reasonably Likely to Impair Advisory Firm’s Ability to Meet Commitments to Clients ............................................................................................................................................................................ 17 Bankruptcy Petitions during the Past Ten Years .............................................................................................. 17 Brochure Supplement (Part 2B of Form ADV) .......................................................................... 19 Principal Executive Officer – Janice J. Hammond ............................................................................................. 19 Item 2 - Educational Background and Business Experience ....................................................................... 19 Item 3 - Disciplinary Information ........................................................................................................................... 19 Item 4 - Other Business Activities ........................................................................................................................... 20 Item 5 - Additional Compensation .......................................................................................................................... 21 Item 6 - Supervision ..................................................................................................................................................... 21  Item 4: Advisory Business Firm Description Sunrise Financial Services LLC (“Sunrise”) was founded in 2009 and utilized as a DBA and became registered as an investment advisor in the State of Washington in 2023. Janice Hammond is 100% owner. Types of Advisory Services ASSET MANAGEMENT Sunrise offers discretionary and non-discretionary asset management services to advisory Clients using AE Wealth Management, LLC’s platform (AEWM) (CRD 134429) and American Funds Service Company (AFSC). Sunrise will offer Clients ongoing asset management services through determining individual investment goals, time horizons, objectives, and risk tolerance. Investment strategies, investment selection, asset allocation, portfolio monitoring and the overall investment program will be based on the above factors. Sunrise will mainly invest in stocks, bonds, debentures, notes, mutual fund shares, UIT’s, exchange traded funds, and fixed income investments. Discretionary When the Client provides Sunrise discretionary authority the Client will sign a limited trading authorization or equivalent. Sunrise will have the authority to execute transactions in the account without seeking Client approval on each transaction. Non-Discretionary (For 529 Plans only) Sunrise allows clients the option to choose to have their 529 plan accounts managed on a non-discretionary basis, Sunrise will determine the securities to be bought or sold and the amount of the securities to be bought or sold. However, Sunrise will obtain prior Client approval on each and every transaction before executing any transaction. FINANCIAL PLANNING AND CONSULTING Financial planning services include a comprehensive evaluation of an investor's current and future financial state and will be provided by using currently known variables to predict future cash flows, asset values and withdrawal plans. Sunrise will use current net worth, tax liabilities, asset allocation, and future retirement and estate plans in developing financial plans. Sunrise offers two different services, a full financial plan and hourly consultation services as outlined below. Full Financial Plan Financial planning services include a comprehensive evaluation of an investor's current and future financial state and will be provided by using currently known variables to predict future cash flows, asset values and withdrawal plans. Sunrise will use current net worth, tax liabilities, asset allocation, and future retirement and estate plans in developing financial plans. Typical topics reviewed in a financial plan may include but are not limited to: • Financial goals: Based on an individual's or a family's clearly defined financial goals, including funding a college education for the children, buying a larger home, starting a business, retiring on time or leaving a legacy. Financial goals should be quantified and set to milestones for tracking. - 1 -  • Personal net worth statement: A snapshot of assets and liabilities serves as a benchmark for measuring progress towards financial goals. • Cash flow analysis: An income and spending plan determines how much can be set aside for debt repayment, savings and investing each month. • Retirement strategy: A strategy for achieving retirement independent of other financial priorities. Including a strategy for accumulating the required retirement capital and its planned lifetime distribution. • Comprehensive risk management plan: Identify all risk exposures and provide the necessary coverage to protect the family and its assets against financial loss. The risk management plan includes a full review of life and disability insurance, personal liability coverage, property and casualty coverage, and catastrophic coverage. for selecting, buying and selling • Long-term investment plan: Include a customized asset allocation strategy based on specific investment objectives and a risk profile. This investment plan sets guidelines investments and establishing benchmarks for performance review. • Tax reduction strategy: Identify ways to minimize taxes on personal income to the extent permissible by the tax code. The strategy should include identification of tax- favored investment vehicles that can reduce taxation of investment income. • Estate preservation: Help update accounts, review beneficiaries for retirement accounts and life insurance, provide a second look at your current estate planning documents, and prompt you to update your plan when the legal environment changes or you have major life events such as a marriage, death, or births. Hourly Consultation Services This service is appropriate for clients who need assistance with individual topics. This is not a detailed financial review and will not provide/result in a comprehensive financial plan. Client may select individual topics above, or other topics as may be deemed appropriate. The individual topics that will be included in this service will be outlined and agreed upon on the financial planning and consulting agreement. If a conflict of interest exists between the interests of Sunrise and the interests of the Client, the Client is under no obligation to act upon Sunrise’s recommendation. If the Client elects to act on any of the recommendations, the Client is under no obligation to effect the transaction through Sunrise. Clients always have the option to purchase investment products recommended by Sunrise through other brokers or agents that are not affiliated with Sunrise. Financial plans will be completed and delivered inside of six (6) months contingent upon timely delivery of all required documentation. Client Tailored Services and Client Imposed Restrictions The goals and objectives for each Client are documented in our Client files. Investment strategies are created that reflect the stated goals and objectives. Clients may impose restrictions on investing in certain securities or types of securities. Agreements may not be assigned without written Client consent. Wrap Fee Programs Sunrise does not sponsor any wrap fee programs. Client Assets under Management Sunrise has the following Client assets under management: - 2 -  Discretionary Amounts: Non-discretionary Amounts: Date Calculated: $151,132,149 $116,578 December 31, 2025 Item 5: Fees and Compensation Method of Compensation and Fee Schedule ASSET MANAGEMENT AE Wealth Management, LLC’s (AEWM) Sunrise offers direct asset management services to advisory Clients. Sunrise charges an annual investment advisory fee based on the total assets under management as follows: Assets Under Management First $1,000,000 ($0-$1,000,000) Subsequent amounts ($1,000,000.01 +) Annual Fee 1.20% 1.0% Monthly Fee .1 .08333% For clients wishing to have Sunrise manage stocks or other holdings outside of Sunrise models, Sunrise will charge an annual fee of .50%. The annual fee may be negotiable. Accounts within the same household may be combined for a reduced fee. If margin is utilized, the fees will be billed based on the net asset value of the account. In computing the market value of any investment of the Account, each security listed on any national securities exchange or otherwise subject to current last-sale reporting shall be valued at the last sale price on the valuation date. Sunrise itself, does not price any investment or security for which it charges a management fee or that is included in the portfolio return. As indicated in Agreement, AEWM receives a portion of Sunrise's fee for each account. For accounts where AEWM is engaged as a platform provider, Clients' fees will be calculated and deducted from Client account by AEWM with Sunrise's portion of the overall fee paid directly by AEWM to Sunrise. Fees are billed monthly in arrears based on the average daily balance of each month. Billing will begin after the account has trade activity or after two full monthly billing cycles, whichever is sooner. Under the fee billing described above, only one rate is charged against all of the client's assets under management in this program. Fees are calculated as follows: Average Daily Balance x (Fee/10,000)/ of days in a year x # of invested days in a month. Example: Account Average Daily Balance is $100,000 Client Fee is 1.20% or 120 basis points Invested January 5th $100,000 x (120/10,000)/365 x 26 = $85.48 Lower fees for comparable services may be available from other sources. Fees for asset management services are deducted from a designated Client account to facilitate billing. Please see Item 15 for more information regarding direct deduction of fees from client’s accounts. American Funds Service Company (“AFSC”) - 3 -  Sunrise charges an annual investment advisory fee based on the total assets under management as follows: Assets Under Management Annual Fee Quarterly Fee Up to $499,999 1.00% 0.25% $500,000 to $1,999,999 0.85% 0.2125% $2,000,000 to $4,999,999 0.50% 0.125% $5,000,000 and Over 0.35% 0.0875% Clients are invested in portfolios constructed solely of mutual funds managed by American Funds. The fees will be billed quarterly in arrears. Fees shall be calculated by AFSC for each quarterly period ending the last business day of February, May, August and November and shall be the product of (i) the annual investment advisory fee charge by Sunrise and calculated based on the Client’s cumulative asset value (includes all account types and Fund share classes) held on the last day of the quarter; (ii) the average daily net asset value of the Client’s assets invested in Funds through the Program during the quarter; divided by, (iii) the number of days in the year multiplied by the number of days in the quarter. The fees shall be paid within thirty (30) days following the end of the quarter for which such fees are payable. AFSC shall deduct fees from Client accounts to pay Sunrise. Clients may terminate their account within five (5) business days of signing the Investment Advisory Agreement with no obligation and without penalty. After the initial five (5) business days, the agreement may be terminated by Sunrise with thirty (30) days written notice to Client and by the Client at any time with written notice to Sunrise. For accounts opened or closed mid-billing period, fees will be prorated based on the days services are provided during the given period. All unpaid earned fees will be due to Sunrise. Client shall be given thirty (30) days prior written notice of any increase in fees. Any increase in fees will be acknowledged in writing by both parties before any increase in said fees occurs. FINANCIAL PLANNING AND CONSULTING Sunrise charges either an hourly fee or fixed fee based on complexity and unique Client needs for financial planning. Prior to the planning process the Client will be provided an estimated plan fee. Services are completed and delivered inside of six (6) months contingent upon timely delivery of all required documentation. Client may cancel within five (5) business days of signing Agreement with no obligation and without penalty. If the Client cancels after five (5) business days, any unearned fees will be refunded to the Client, or any unpaid earned fees will be due to Sunrise. Should the Client choose to implement the plan through Sunrise, they will waive the financial planning fee or offset the fee for related advisory services of assets being managed by Sunrise. Full Financial Plans and Hourly Consultation Services Full Financial Plans and Hourly Consultation services are offered for a fixed fee of $ $250 per hour. Financial planning fees are not negotiable. Fees for financial plans are due upon delivery of the completed plan. Clients can choose to pay for financial planning via Check – to be remitted by Client to Sunrise. - 4 -  Client Payment of Fees Investment management fees are billed quarterly in arrears, meaning that we charge you after the billing period. Fees are usually deducted from a designated Client account to facilitate billing. The Client must consent in advance to direct debiting of their investment account. Fees for asset management services are: • Deducted from a designated Client account. The Client must consent in advance to direct debiting of their investment account. • Check – to be remitted by Client to Sunrise • Deducted from a non-qualified account managed by Sunrise • Electronic Payment via ACH, Debit Card, or Credit Card (fees will be paid via a third party payment processor in which the client will securely input payment information and pay the advisory fee through a secure portal. Sunrise will not have continuous access to the Client’s banking information.) Fees for financial plans will be billed payable by: • Check – to be remitted by Client to Sunrise Additional Client Fees Charged Custodians may charge transaction fees and other related costs on the purchases or sales of mutual funds, equities, bonds, options and exchange-traded funds. Mutual funds, money market funds and exchange-traded funds also charge internal management fees, which are disclosed in the fund’s prospectus. Sunrise does not receive any compensation from these fees. All of these fees are in addition to the management fee you pay to Sunrise. For more details on the brokerage practices, see Item 12 of this brochure. Client acknowledges that representatives of Sunrise may provide Client with various non- securities insurance products upon which a commission may be paid to Sunrise representatives, and such commissions are separate and apart from the fees charged under this Agreement. Sunrise will not charge management fees on any insurance product where a representative receives a commission. Sunrise’s management fees are separate and are not reduced when a separate commission is paid. A conflict exists because of the relationship. This conflict is mitigated by disclosures, procedures, and the firm’s Fiduciary obligation. The Client is under no obligation to act upon the investment advisor’s recommendations. If the Client elects to act on any of the recommendations, the Client is under no obligation to effect the transaction through Sunrise. Prepayment of Client Fees Sunrise does not require any prepayment of fees. External Compensation for the Sale of Securities to Clients Investment Advisor Representatives of Sunrise receive external compensation for the sale of securities to clients as a registered representative of Madison Avenue Securities, LLC, a broker-dealer and/or as licensed insurance agents. This represents a conflict of interest because it gives an incentive to recommend products based on the commission received. They do not charge advisory fees for the services offered as registered representatives or insurance agents. This conflict is mitigated by disclosures, procedures, and Sunrise’s fiduciary obligation to place the best interest of the Client first and Clients are not required - 5 -  to purchase any products or services. Clients have the option to purchase these products through another registered representative or insurance agent of their choosing. Item 6: Performance-Based Fees and Side-by-Side Management Sharing of Capital Gains Fees are not based on a share of the capital gains or capital appreciation of managed securities. Sunrise does not use a performance-based fee structure because of the conflict of interest. Performance based compensation may create an incentive for Sunrise to recommend an investment that may carry a higher degree of risk to the Client. Item 7: Types of Clients Description Sunrise generally provides investment advice to individuals and high net worth individuals. Client relationships vary in scope and length of service. Account Minimums Sunrise does not require a minimum to open an account. Item 8: Methods of Analysis, Investment Strategies and Risk of Loss Methods of Analysis At the root of our investment process, you will find the tenets of Modern Portfolio Theory to be our starting basis and backbone of ongoing model review and investment selection. The risk with Modern Portfolio Theory is that market risk is common to all securities and cannot be eliminated by diversification and allocation. Through expansive asset allocation, we have designed five risk-adjusted portfolios and one income model to meet the needs of investors with varying risk tolerances and potential return needs so that we can best position our clients and their overall investment experience. Our two primary tools used to enlist our process are Nitrogen and Morningstar, where we are able to review the entire universe of investments in different asset classes as part of our ongoing oversight. We use both Qualitative and Quantitative processes to meet both risk and potential return objectives for our individual holdings and for each of our models. Our strategies base their potential return on Nitrogen’s Advanced Risk Modeling (ARM). Advanced Risk Modeling (ARM) calculates the six-month range based on historical data in conjunction with capital market assumptions. Each security is filtered into one of four return modes and modeled accordingly. Where many tools leverage Monte Carlo scenarios to evaluate thousands of potential outcomes, Nitrogen uses their ARM to determine a six-month mid-range for all investments they monitor. In addition, each model also has its own six-month mid-range. Each underlying investment and Sunrise Financial Services model is assigned a: Risk Number: The Risk Number is a quantitative way to pinpoint how much risk an investor wants, how much risk they currently have in their portfolio, and how much risk they need to reach their goals. - 6 -  Nitrogen GPA: Nitrogen GPA® is a quantitative expression of the efficiency of an investment, strategy, or portfolio with respect to how much return is realized or expected per unit of risk. Benchmarks: Capacity to review model side by side with appropriate blended benchmark Morningstar: Nitrogen uses data from Morningstar to determine their calculations. We also use Morningstar to back test potential risk/return expectations of our underlying holdings and when necessary, individual security holdings clients already hold and want to maintain. Modeled Performance also includes calculated statistics for the charted portfolio(s) and selected benchmark. These statistics are shown for up to three (3) selected time frames, including the charted time frame. These statistics include: Beta: A comparative statistic expressing the ratio of a portfolio’s volatility to that of the indicated benchmark. R-Squared: Quantifies the percentage of a portfolio’s movement (both positive and negative) that can be attributed to movement in the indicated benchmark. Sharpe Ratio: This “bang-for-your-buck” metric assesses a portfolio’s risk efficiency, by illustrating its return relative to its risk exposure. This can help to facilitate a comparison of portfolios with drastically different Risk Numbers. Batting Average: A portfolio’s batting average is simply the percentage of months during the time period that it outperformed the indicated benchmark. Drawdown: The maximum percent loss, from peak-to-trough, for a portfolio before a new peak is established during the specified time period. Standard Deviation: Volatility metric expressing an annualized standard deviation of monthly returns for the portfolio during the time period specified. Total Return: Percentage gained or lost during the specified time period. We use Nitrogen’s Risk Questionnaire to determine a client’s overall risk tolerance to assign a Risk Number (above) for our clients. This allows us to implement solutions that are intended to compliment other holdings (Annuities typically) that are in line with both a client’s risk tolerance and return needs. Additional information that may be helpful (From Nitrogen) regarding ARM: Market Assumptions This calculation methodology is based on a return scenario for the S&P 500 and the direction/change in the 10 Year Treasury Rate over the next 6 months. As we do not want to predict what the return scenario will look like in the near term, the default scenario is called "Long-Term Consensus." That scenario is designed for advisors who want to use the bedrock assumption of financial advice — that the long-term of the future will be something like the long-term of the past. The Long-Term Consensus for the S&P 500 is +7.64% annually (including dividends), so we normalize it to 6 months by calculating a reverse compound. We believe that there is no long-term consensus on the direction or magnitude of change on the 10 Year Treasury - 7 -  yield, so our default is set to "flat." Our default market assumption uses a 6-month return for the Standard and Poor's 500 of 3.75% and a "flat" interest rate environment. You can easily choose from another preset scenario, or enter your own S&P 500 and 10 Year Treasury Rate scenario, to recalculate the risk in the portfolio using the Market Assumptions menu. Investment Strategy The investment strategy for a specific Client is based upon the objectives stated by the Client during consultations. The Client may change these objectives at any time by providing written notice to Sunrise. Each Client executes a Client profile form or similar form that documents their objectives and their desired investment strategy. Other strategies may include long-term purchases, short-term purchases, and trading. Security Specific Material Risks All investment programs have certain risks that are borne by the investor. Our investment approach constantly keeps the risk of loss in mind. Investors face the following investment risks and should discuss these risks with Sunrise: • Market Risk: The prices of securities in which clients invest may decline in response to certain events taking place around the world, including those directly involving the companies whose securities are owned by a fund; conditions affecting the general economy; overall market changes; local, regional or global political, social or economic instability; and currency, interest rate and commodity price fluctuations. Investors should have a long-term perspective and be able to tolerate potentially sharp declines in market value. • Interest-rate Risk: Fluctuations in interest rates may cause investment prices to fluctuate. For example, when interest rates rise, yields on existing bonds become less attractive, causing their market values to decline. • Inflation Risk: When any type of inflation is present, a dollar today will buy more than a dollar next year, because purchasing power is eroding at the rate of inflation. • Currency Risk: Overseas investments are subject to fluctuations in the value of the dollar against the currency of the investment’s originating country. This is also referred to as exchange rate risk. • Reinvestment Risk: This is the risk that future proceeds from investments may have to be reinvested at a potentially lower rate of return (i.e. interest rate). This primarily relates to fixed income securities. • Liquidity Risk: Liquidity is the ability to readily convert an investment into cash. Generally, assets are more liquid if many traders are interested in a standardized product. For example, Treasury Bills are highly liquid, while real estate properties are not. • Management Risk: The advisor’s investment approach may fail to produce the intended results. If the advisor’s assumptions regarding the performance of a specific asset class or fund are not realized in the expected time frame, the overall performance of the client’s portfolio may suffer. • Equity Risk: Equity securities tend to be more volatile than other investment choices. The value of an individual mutual fund or ETF can be more volatile than the market as a - 8 -  whole. This volatility affects the value of the client’s overall portfolio. Small- and mid- cap companies are subject to additional risks. Smaller companies may experience greater volatility, higher failure rates, more limited markets, product lines, financial resources, and less management experience than larger companies. Smaller companies may also have a lower trading volume, which may disproportionately affect their market price, tending to make them fall more in response to selling pressure than is the case with larger companies. • Fixed Income Risk: The issuer of a fixed income security may not be able to make interest and principal payments when due. Generally, the lower the credit rating of a security, the greater the risk that the issuer will default on its obligation. If a rating agency gives a debt security a lower rating, the value of the debt security will decline because investors will demand a higher rate of return. As nominal interest rates rise, the value of fixed income securities held by a fund is likely to decrease. A nominal interest rate is the sum of a real interest rate and an expected inflation rate. • Investment Companies Risk: When a client invests in open end mutual funds or ETFs, the client indirectly bears their proportionate share of any fees and expenses payable directly by those funds. Therefore, the client will incur higher expenses, which may be duplicative. In addition, the client’s overall portfolio may be affected by losses of an underlying fund and the level of risk arising from the investment practices of an underlying fund (such as the use of derivatives). ETFs are also subject to the following risks: (i) an ETF’s shares may trade at a market price that is above or below their net asset value or (ii) trading of an ETF’s shares may be halted if the listing exchange’s officials deem such action appropriate, the shares are de-listed from the exchange, or the activation of market-wide “circuit breakers” (which are tied to large decreases in stock prices) halts stock trading generally. Adviser has no control over the risks taken by the underlying funds in which client invests. • Foreign Securities Risk: Funds in which clients invest may invest in foreign securities. Foreign securities are subject to additional risks not typically associated with investments in domestic securities. These risks may include, among others, currency risk, country risks (political, diplomatic, regional conflicts, terrorism, war, social and economic instability, currency devaluations and policies that have the effect of limiting or restricting foreign investment or the movement of assets), different trading practices, less government supervision, less publicly available information, limited trading markets and greater volatility. To the extent that underlying funds invest in issuers located in emerging markets, the risk may be heightened by political changes, changes in taxation, or currency controls that could adversely affect the values of these investments. Emerging markets have been more volatile than the markets of developed countries with more mature economies. • Long-term purchases: Long-term investments are those vehicles purchased with the intention of being held for more than one year. Typically the expectation of the investment is to increase in value so that it can eventually be sold for a profit. In addition, there may be an expectation for the investment to provide income. One of the biggest risks associated with long-term investments is volatility, the fluctuations in the financial markets that can cause investments to lose value. • Short-term purchases: Short-term investments are typically held for one year or less. Generally there is not a high expectation for a return or an increase in value. Typically, - 9 -  short-term investments are purchased for the relatively greater degree of principal protection they are designed to provide. Short-term investment vehicles may be subject to purchasing power risk — the risk that your investment’s return will not keep up with inflation. Additionally, frequent trading can affect investment performance, particularly through increased brokerage and other transaction costs and taxes. • Trading risk: Investing involves risk, including possible loss of principal. There is no assurance that the investment objective of any fund or investment will be achieved. • Trading on Margin: In a cash account, the risk is limited to the amount of money that has been invested. In a margin account, risk includes the amount of money invested plus the amount that has been loaned. As market conditions fluctuate, the value of marginable securities will also fluctuate, causing a change in the overall account balance and debt ratio. As a result, if the value of the securities held in a margin account depreciates, the client will be required to deposit additional cash or make full payment of the margin loan to bring account back up to maintenance levels. Clients who cannot comply with such a margin call may be sold out or bought in by the brokerage firm. • Mutual Fund risk: Investing in a mutual fund may cause you to bear additional expenses based on your pro rata share of the mutual fund’s operating expenses, including the potential duplication of management fees. The risk of owning a mutual fund generally reflects the risks of owning the underlying securities the mutual fund holds. You may also incur brokerage costs when purchasing mutual funds. • Exchange Traded Fund (ETF) risk: Investing in an ETF may cause you to bear additional expenses based on your pro rata share of the ETF’s operating expenses, including the potential duplication of management fees. The risk of owning an ETF generally reflects the risks of owning the underlying securities the ETF holds. Other risks may include the ETF not tracking the index as designed and potential liquidity and shutdown risks. • Stock risk: Stocks may go up and down in price quite dramatically, and in the event of an issuer’s bankruptcy or restructuring could lose all value. A slower-growth or recessionary economic environment could have an adverse effect on the price of all stocks. • Bond risk: Bonds are debt securities to borrow money. Generally, issuers pay investors periodic interest and repay the amount borrowed either periodically during the life of the security and/or at maturity. Alternatively, investors can purchase other debt securities, such as zero coupon bonds, which do not pay current interest, but rather are priced at a discount from their face values and their values accrete over time to face value at maturity. The market prices of debt securities fluctuate depending on such factors as interest rates, credit quality, and maturity. In general, market prices of debt securities decline when interest rates rise and increase when interest rates fall. The longer the time to a bond’s maturity, the greater its interest rate risk. • Unit Investment Trusts: A Unit Investment Trust (UIT) is an investment company that offers a fixed portfolio, generally of stocks and bonds, as redeemable units to investors for a specific period of time. It is designed to provide capital appreciation and/or dividend income. UITs, along with mutual funds and closed-end funds, are defined as investment companies. Please see Investment Companies Risk above for additional information. - 10 -  • Note risks: Note investing is the purchase of a debt security. The risks involved include that you could lose all of your investment if the issuer of your note is unable to pay its obligations or goes bankrupt. In other words, any principal guarantee is subject to the creditworthiness of the guarantor, which is generally the securities firm that structures and issues the note. • Debenture risks: A debenture is a marketable security that businesses can issue to obtain long-term financing without needing to put up collateral or dilute their equity. A debenture is a type of long-term business debt not secured by any collateral. The main risk that fixed-rate debentures and unsecured notes holders are exposed to is the opportunity cost that a better rate of return may be available elsewhere if interest rates were to increase. The credit risk is the risk that the investor's interest and/or capital are not repaid by the borrower. The risks associated with utilizing Sub-Advisors include: • Manager Risk o Sub-Advisor fails to execute the stated investment strategy • Business Risk o Sub-Advisor has financial or regulatory problems • The specific risks associated with the portfolios of the Sub-Advisor’s which is disclosed in the Sub-Advisor’s Form ADV Part 2. Item 9: Disciplinary Information Criminal or Civil Actions Sunrise and its management have not been involved in any criminal or civil action. Administrative Enforcement Proceedings Sunrise and its management have not been involved in administrative enforcement proceedings. Self- Regulatory Organization Enforcement Proceedings Sunrise and its management have not been involved in any self-regulatory organizational enforcement proceedings that are material to a Client’s or prospective Client’s evaluation of Sunrise or the integrity of its management. Item 10: Other Financial Industry Activities and Affiliations Broker-Dealer or Representative Registration Sunrise is not registered as a broker- dealer, however, Managing Member Janice Hammond is a registered representative of Madison Avenue Securities, LLC, a FINRA/SIPC broker- dealer CRD# 23224. Futures or Commodity Registration Neither Sunrise nor its affiliated representatives are registered or have an application pending to register as a futures commission merchant, commodity pool operator, or a commodity trading advisor. - 11 -  Material Relationships Maintained by this Advisory Business and Conflicts of Interest Ms. Hammond is an insurance agent with Advisors Excel and Sunrise Financial Services, LLC. She is also a Registered Representative with Madison Avenue Securities, LLC. Approximately 50% of her time is spent on these activities. She will offer Clients products and services from these activities. She spends approximately 80 hours per month on these activities including during trading hours. As an insurance agent and Registered Representative, she will receive separate yet typical compensation. These practices represent conflicts of interest because it gives an incentive to recommend products based on the commission amount received. This conflict is mitigated by disclosures, procedures and the firm’s fiduciary obligation to place the best interest of the Client first and the Clients are not required to purchase any products. Clients have the option to purchase these products through another professional of their choosing. Ms. Hammond is also owner of Short Women Enterprises, LLC, JJH Business Development Corp, and owns rental property. These activities all involve rental property and property development. Ms. Hammond spends a total of 40 hours per month on these activities, 20 of those hours during trading hours. These activities are not conflicts of interest as they do not involve clients. Recommendations or Selections of Other Investment Advisors and Conflicts of Interest As disclosed above in Item 4, Sunrise uses the AEWM platform for asset management services. Prior to introducing any Ohio clients to another investment advisor, Sunrise will be responsible in determining if the Firm is properly licensed, notice filed or exempt from registration. Item 11: Code of Ethics, Participation or Interest in Client Transactions and Personal Trading Code of Ethics Description include employees and/or The affiliated persons (affiliated persons independent contractors) of Sunrise have committed to a Code of Ethics (“Code”). The purpose of our Code is to set forth standards of conduct expected of Sunrise affiliated persons and addresses conflicts that may arise. The Code defines acceptable behavior for affiliated persons of Sunrise. The Code reflects Sunrise and its supervised persons’ responsibility to act in the best interest of their Client. The affiliated persons (affiliated persons include employees and/or independent contractors) of Sunrise owe Clients a fiduciary duty to put the Clients’ interest first which includes, but is not limited to, a duty of care, loyalty, obedience, and utmost good faith. One area which the Code addresses is when affiliated persons buy or sell securities for their personal accounts and how to mitigate any conflict of interest with our Clients. We do not allow any affiliated persons to use non-public material information for their personal profit or to use internal research for their personal benefit in conflict with the benefit to our Clients. Sunrise’s policy prohibits any person from acting upon or otherwise misusing non-public or inside information. No advisory representative or other affiliated person, officer or director of Sunrise may recommend any transaction in a security or its derivative to advisory Clients or engage in personal securities transactions for a security or its - 12 -  derivatives if the advisory representative possesses material, non-public information regarding the security. Sunrise’s Code is based on the guiding principle that the interests of the Client are our top priority. Sunrise’s officers, directors, advisors, and other affiliated persons have a fiduciary duty to our Clients and must diligently perform that duty to maintain the complete trust and confidence of our Clients. When a conflict arises, it is our obligation to put the Client’s interests over the interests of either affiliated persons or the company. The Code applies to “access” persons. “Access” persons are affiliated persons who have access to non-public information regarding any Clients' purchase or sale of securities, or non-public information regarding the portfolio holdings of any reportable fund, who are involved in making securities recommendations to Clients, or who have access to such recommendations that are non-public. Sunrise will provide a copy of the Code of Ethics to any Client or prospective Client upon request. Investment Recommendations Involving a Material Financial Interest and Conflict of Interest Sunrise and its affiliated persons do not recommend to Clients securities in which we have a material financial interest. Advisory Firm Purchase of Same Securities Recommended to Clients and Conflicts of Interest Sunrise and its affiliated persons may buy or sell securities that are also held by Clients. In order to mitigate conflicts of interest such as trading ahead of Client transactions, affiliated persons are required to disclose all reportable securities transactions as well as provide Sunrise with copies of their brokerage statements. The Chief Compliance Officer of Sunrise is Janice Hammond. She reviews all trades of the affiliated persons each quarter. The personal trading reviews ensure that the personal trading of affiliated persons does not affect the markets and that Clients of the firm receive preferential treatment over associated persons’ transactions. Client Securities Recommendations or Trades and Concurrent Advisory Firm Securities Transactions and Conflicts of Interest Sunrise does not have a material financial interest in any securities being recommended. However, affiliated persons may buy or sell securities at the same time they buy or sell securities for Clients. In order to mitigate conflicts of interest such as front running, affiliated persons are required to disclose all reportable securities transactions as well as provide Sunrise with copies of their brokerage statements. The Chief Compliance Officer of Sunrise is Janice Hammond. She reviews all trades of the affiliated persons each quarter. The personal trading reviews ensure that the personal trading of affiliated persons does not affect the markets and that Clients of the firm receive preferential treatment over associated persons’ transactions. Item 12: Brokerage Practices Factors Used to Select Broker-Dealers for Client Transactions Sunrise will require the use of a particular broker-dealer based on their duty to seek best execution for the client, meaning they have an obligation to obtain the most favorable - 13 -  terms for a client under the circumstances. The determination of what may constitute best execution and price in the execution of a securities transaction by a broker involves a number of considerations and is subjective. Factors affecting brokerage selection include the overall direct net economic result to the portfolios, the efficiency with which the transaction is affected, the ability to effect the transaction where a large block is involved, the operational facilities of the broker-dealer, the value of an ongoing relationship with such broker and the financial strength and stability of the broker. Sunrise will select appropriate brokers based on a number of factors including but not limited to their relatively low transaction fees and reporting ability. Sunrise relies on its broker to provide its execution services at the best prices available. By requiring the use of Fidelity Sunrise may be unable to achieve the most favorable execution of client transactions, and this practice may cost the Clients more money.Lower fees for comparable services may be available from other sources. Clients pay for any and all custodial fees in addition to the advisory fee charged by Sunrise. Sunrise does not receive any portion of the trading fees. Sunrise will require the use of Fidelity. • Research and Other Soft Dollar Benefits The Securities and Exchange Commission defines soft dollar practices as arrangement under which products or services other than execution services are obtained by Sunrise from or through a broker-dealer in exchange for directing Client transactions to the broker-dealer. Although Sunrise has no formal soft dollar arrangements, Sunrise may receive products, research and/or other services from custodians or broker-dealers connected to client transactions or “soft dollar benefits”. As permitted by Section 28(e) of the Securities Exchange Act of 1934, Sunrise receives economic benefits as a result of commissions generated from securities transactions by the custodian or broker-dealer from the accounts of Sunrise. Sunrise cannot ensure that a particular client will benefit from soft dollars or the client’s transactions paid for the soft dollar benefits. Sunrise does not seek to proportionately allocate benefits to client accounts to any soft dollar benefits generated by the accounts. A conflict of interest exists when Sunrise receives soft dollars which could result in higher commissions charged to Clients. This conflict is mitigated by the fact that Sunrise has a fiduciary responsibility to act in the best interest of its Clients and the services received are beneficial to all Clients. • Brokerage for Client Referrals Sunrise does not receive client referrals from any custodian or third party in exchange for using that broker-dealer or third party. • Directed Brokerage Sunrise does not allow directed brokerage accounts. Aggregating Securities Transactions for Client Accounts Sunrise is authorized in its discretion to aggregate purchases and sales and other transactions made for the account with purchases and sales and transactions in the same securities for other Clients of Sunrise. All Clients participating in the aggregated order shall receive an average share price with all other transaction costs shared on a pro-rated basis. If aggregation is not allowed or infeasible and individual transactions occur (e.g., withdrawal or liquidation requests, odd-lot trades, etc.) an account may potentially be assessed higher costs or less favorable prices than those where aggregation has occurred. - 14 -  Item 13: Review of Accounts Schedule for Periodic Review of Client Accounts or Financial Plans and Advisory Persons Involved Account reviews are performed quarterly by the Chief Compliance Officer of Sunrise, Janice Hammond. Account reviews are performed more frequently when market conditions dictate. Reviews of Client accounts include, but are not limited to, a review of Client documented risk tolerance, adherence to account objectives, investment time horizon, and suitability criteria, reviewing target allocations of each asset class to identify if there is an opportunity for rebalancing, and reviewing accounts for tax loss harvesting opportunities. Financial plans generated are updated as requested by the Client and pursuant to a new or amended agreement, Sunrise suggests updating at least annually. Review of Client Accounts on Non-Periodic Basis Other conditions that may trigger a review of Clients’ accounts are changes in the tax laws, new investment information, and changes in a Client's own situation. Content of Client Provided Reports and Frequency Clients receive written account statements no less than quarterly for managed accounts. Account statements are issued by Sunrise’s custodian. Client receives confirmations of each transaction in account from custodian and an additional statement during any month in which a transaction occurs. Performance reports will be provided by Sunrise on demand based on Client request. Item 14: Client Referrals and Other Compensation Economic Benefits Provided to the Advisory Firm from External Sources and Conflicts of Interest Sunrise receives additional economic benefits from external sources as described above in Item 12. Ms. Hammond receives external compensation for the sale of securities to Clients as a registered representative of Madison Avenue Securities, LLC, a broker-dealer. Other than the above, Sunrise does not receive any economic benefits from external sources. Advisory Firm Payments for Client Referrals Sunrise does not compensate for Client referrals. Item 15: Custody Account Statements All assets are held at qualified custodians, which means the custodians provide account statements directly to Clients at their address of record at least quarterly. Clients are urged to carefully compare the account statements received directly from their custodians to any invoices or reports prepared by Sunrise. Sunrise is also deemed to have limited custody due to its Third-Party Standing Letters of Authorization (“SLOA”). Sunrise and its qualified custodian meet the following seven (7) conditions in order to avoid maintaining full custody and be subject to the surprise exam requirement: - 15 -  1. The Client provides an instruction to the qualified custodian, in writing, that includes the Client’s signature, the third party’s name, and either the third party’s address or the third party’s account number at a custodian to which the transfer should be directed. 2. The Client authorizes Sunrise, in writing, either on the qualified custodian’s form or separately, to direct transfers to the third party either on a specified schedule or from time to time. 3. The Client’s qualified custodian performs appropriate verification of the instruction, such as a signature review or other method to verify the Client’s authorization and provides a transfer of funds notice to the Client promptly after each transfer. 4. The Client has the ability to terminate or change the instruction to the Client’s qualified custodian. 5. Sunrise has no authority or ability to designate or change the identity of the third party, the address, or any other information about the third party contained in the Client’s instruction. 6. Sunrise maintains records showing that the third party is not a related party nor located at the same address as Sunrise. 7. The Client’s qualified custodian sends the Client, in writing, an initial notice confirming the instruction and an annual notice reconfirming the instruction. Item 16: Investment Discretion Discretionary Authority for Trading If applicable, Client will authorize Sunrise discretionary authority, via the advisory agreement, to determine, without obtaining specific Client consent, the securities to be bought or sold, and the amount of the securities to be bought or sold. If applicable, Client will authorize Sunrise discretionary authority to execute selected investment program transactions as stated within the Investment Advisory Agreement. If however, consent for discretion is not given, Sunrise will obtain prior Client approval before executing each transaction. Sunrise allows Client’s to place certain restrictions, as outlined in the Client’s Investment Policy Statement or similar document. Such restrictions could include only allowing purchases of socially conscious investments. These restrictions must be provided to Sunrise in writing. In addition, the client will authorize Sunrise discretionary authority to execute selected investment program transactions as stated within the Investment Advisory Agreement. Sunrise has full discretion to hire and fire sub-advisors within the AEWM platform. AEWM shall have discretionary authority for the investment and reinvestment of the designated assets with full authority to buy, sell or otherwise effect investment transactions involving the designated assets in the client’s name and for the client’s account. Sunrise will assume discretionary authority to determine the appropriate model portfolio strategy for the Client’s accounts, according to Client’s risk tolerance, both initially and on an ongoing basis. Sunrise does not have the discretionary authority to determine the securities to be bought or sold within a specific portfolio model. The Co-Advisory Client Agreement grants Sunrise limited discretionary authority over the client account. - 16 -  The Client approves the custodian to be used and the commission rates paid to the custodian. Sunrise does not receive any portion of the transaction fees or commissions paid by the Client to the custodian. Item 17: Voting Client Securities Proxy Votes Sunrise does not vote proxies on securities. Clients are expected to vote their own proxies. The Client will receive their proxies directly from the custodian of their account or from a transfer agent. When assistance on voting proxies is requested, Sunrise will provide recommendations to the Client. If a conflict of interest exists, it will be disclosed to the Client. If the Client requires assistance or has questions, they can reach out to the investment advisor representatives of the firm at the contact information on the cover page of this document. Item 18: Financial Information Balance Sheet A balance sheet is not required to be provided to Clients because Sunrise does not serve as a custodian for Client funds or securities and Sunrise does not require prepayment of fees of more than $1200 per Client and six months or more in advance. Financial Conditions Reasonably Likely to Impair Advisory Firm’s Ability to Meet Commitments to Clients Sunrise has no condition that is reasonably likely to impair our ability to meet contractual commitments to our Clients. Bankruptcy Petitions during the Past Ten Years Sunrise has not had any bankruptcy petitions in the last ten years. - 17 -  Item 1 Cover Page S U P E R V I S E D P E R S O N B R O C H U R E F O R M A D V P A R T 2 B Janice J. Hammond Sunrise Financial Services LLC Office Address: 431 SW Ambaum Blvd Burien, WA 98166 Tel: 206-420-8520 Fax: 206-374-2769 Email: advisor@sunrisefinancial.net April 15, 2026 This brochure supplement provides information about Janice Hammond and supplements the Sunrise Financial Services LLC brochure. You should have received a copy of that brochure. Please contact Janice Hammond if you did not receive the brochure or if you have any questions about the contents of this supplement. A D D I T I O N A L I N F O R M A T I O N A B O U T J A N I C E J . H A M M O N D ( C R D # 5 6 2 3 9 4 9 ) I S A V A I L A B L E O N T H E S E C ’ S W E B S I T E A T W W W . A D V I S E R I N F O . S E C . G O V . - 18 -  Brochure Supplement (Part 2B of Form ADV) Supervised Person Brochure Principal Executive Officer – Janice J. Hammond • Year of birth: 1977 Item 2 - Educational Background and Business Experience Educational Background: • No post-secondary education. Business Experience: • Sunrise Financial Services LLC; Investment Advisor Representative; 01/2024- Present • Sunrise Financial Services LLC.; Managing Member/Insurance Agent; 11/2009- Present • Madison Avenue Securities, LLC dba Sunrise Financial Services LLC; Registered Representative; 02/2019-Present • JJH Business Development Corp; Owner; 01/2022-Present • Short Women Enterprises, LLC; Owner; 07/2018-Present • Advisors Excel; Insurance Agent; 10/2011-Present • Madison Avenue Securities, LLC dba Sunrise Financial Services LLC; Investment Advisor Representative; 02/2019-10/2024 • Questar Capital Corporation dba Sunrise Financial Services LLC; Registered Representative; 06/2017-02/2019 • Questar Asset Management Inc. dba Sunrise Financial Services LLC; Investment Advisor Representative; 06/2017-02/2019 • First Heartland Consultants, Inc. dba Sunrise Financial Services LLC; Investment Advisor Representative; 08/2013-06/2017 • First Heartland Capital, Inc. dba Sunrise Financial Services LLC; Registered Representative; 07/2013-06/2017 • Madison Avenue Securities, Inc.; Investment Advisor Representative; 01/2010- 07/2013 • Madison Avenue Securities, Inc.; Registered Representative; 01/2009-07/2013 Item 3 - Disciplinary Information 1. Ms. Hammond has never been involved in a criminal or civil action in a domestic, foreign or military court of competent jurisdiction for which she: a. Was convicted of, or pled guilty or nolo contender (“no contest”) to (a) any felony; (b) misdemeanor that involved investments or an investment-related business, fraud, false statement or omissions, wrongful taking of property, bribery, perjury, counterfeiting, or extortion; or (c) a conspiracy to commit any of these offenses; b. Is the named subject of a pending criminal proceeding that involves an investment-related business, fraud, false statements or omissions, wrongful - 19 -  taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses; c. Was found to have been involved in a violation of an investment-related statute or regulation; or d. Was the subject of any order, judgement or decree permanently or temporarily enjoining, or otherwise limiting, her from engaging in any investment related activity, or from violating any investment-related statute, rule, or order. 2. Ms. Hammond never had an administrative proceeding before the SEC, any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority in which she: a. Was found to have caused an investment-related business to lose its authorization to do business; or the subject of an order by the agency or authority; b. Was found to have been involved in a violation of an investment-related statute or regulation or was the subject of an order by the agency or authority a. (a)denying, suspending or revoking the authorization of the supervised person to act in an investment-related business; (b) barring or suspending her association with an investment-related business; (c) otherwise significantly limiting her investment-related activities; or (d) imposing a civil money penalty of more than $2,500 on him. 3. Ms. Hammond has never been the subject of a self-regulatory organization (SRO) proceeding in which she: a. Was found to have caused an investment-related business to lose its authorization to do business; or b. Was found to have been involved in a violation of the SRO’s rules and was: (a) barred or suspended from membership or from association with other members, or was expelled from membership; (b) otherwise significantly limited from investment-related activities; or (c) fined more than $2,500. 4. Ms. Hammond has not been involved in any other hearing or formal adjudication in which a professional attainment, designation, or license of the supervised person was revoked or suspended because of a violation of rules relating to professional conduct. Item 4 - Other Business Activities Ms. Hammond is an insurance agent with Advisors Excel and Sunrise Financial Services, LLC. She is also a Registered Representative with Madison Avenue Securities, LLC. Approximately 50% of her time is spent on these activities. She will offer Clients products and services from these activities. She spends approximately 19 hours per month on these activities including during trading hours. As an insurance agent, Registered Representative, she will receive separate yet typical compensation. These practices represent conflicts of interest because it gives an incentive to recommend products based on the commission amount received. This conflict is mitigated by disclosures, procedures and the firm’s fiduciary obligation to place the best interest of the Client first and the Clients are not required to purchase any products. Clients have the option to purchase these products through another professional of their choosing. - 20 -  Ms. Hammond is also owner of Short Women Enterprises, LLC, JJH Business Development Corp, and owns rental property. These activities all involve rental property and property development. Ms. Hammond spends a total of 40 hours per month on these activities, 20 of those hours during trading hours. These activities are not conflicts of interest as they do not involve clients. Item 5 - Additional Compensation Ms. Hammond receives commissions on the insurance and brokerage products she sells and fees on advisory services she offers. She does not receive any performance-based fees. Item 6 - Supervision Ms. Hammond is the Chief Compliance Officer of Sunrise and as such she is solely responsible for all supervision and formulation and monitoring of investment advice offered to Clients. She will adhere to the policies and procedures as described in the firm’s Compliance Manual. She can be reached at advisor@sunrisefinanical.net or 206-420-8520. - 21 -