WIMMER ASSOCIATES I, LLC

Firm Brochure (Form ADV – Part 2) March 31, 2025 This Brochure provides information about the qualifications and business practices of Wimmer Associates. If you have any questions about the contents of this Brochure, please contact us by phone at 626-683-3150 or send an email to kkenney@wimmerassociates.com. The information in this Brochure has not been approved or verified by the United States Securities and Exchange Commission (SEC) or by any state securities authority. Wimmer Associates is a registered investment adviser. Registration of an Investment Adviser does not imply any level of skill or training. The oral and written communications of an Adviser provide information with which one can determine to hire or retain an Adviser. Additional information about Wimmer Associates is also available on the SEC’s website at www.adviserinfo.sec.gov. 155 North Lake Avenue, Suite 440  Pasadena, California 91101 Telephone: (626) 683-3150  Website: www.wimmerassociates.com 1  Item 2 – Material Changes This Brochure dated March 31, 2025, contains no material change from the last annual brochure offering dated March 31, 2024. Currently, our Brochure may be requested by contacting Kathryn Kenney, Vice President at 626-683-3150 or via email to kkenney@wimmerassociates.com. 2  Item 3 – Advisory Table of Contents Item Number Page Number Item 1 Cover Page 1 Item 2 Material Changes 2 Item 3 Table of Contents 3 Item 4 Advisory Business 4 Item 5 Fees and Compensation 6 Item 6 Performance-Based Fees 7 Item 7 Types of Clients 7 Item 8 Methods of Analysis, Investment Strategies and Risk of Loss 7 Item 9 Disciplinary Information 8 Item 10 Other Financial Industry Activities and Affiliations 8 Item 11 Code of Ethics 8 Item 12 Brokerage Practices 9 Item 13 Review of Accounts 10 Item 14 Client Referrals and Other Compensation 11 Item 15 Custody 11 Item 16 Investment Discretion 11 Item 17 Voting Client Securities 12 Item 18 Financial Information 12 3  Item 4 – Advisory Business Firm Description Wimmer Associates began offering its investment advisory services on March 9, 2003. The firm is federally registered with the SEC (Securities and Exchange Commission) as a Registered Investment Adviser. Wimmer Associates provides investment supervisory services and investment management services to individuals, trusts and estates, family groups, and other types of entities that need ongoing investment advice. These services include advice on structuring a client’s portfolio given the client’s objectives (return requirements and risk tolerance) and circumstances (time horizons, liquidity needs, tax planning, education funding and other special considerations). Wimmer Associates then tailors its portfolio recommendations to meet the specific needs of the client and updates these recommendations as appropriate. Wimmer Associates manages investment portfolios primarily on a discretionary basis. Clients, however, do not have to grant Wimmer Associates this discretion or they may grant discretion but may impose restrictions on investing in certain securities or types of securities. For discretionary accounts, unless otherwise limited by the clients, Wimmer Associates is authorized to enter into any type of investment transaction that it deems appropriate for its clients (meaning the client grants Wimmer Associates permission to buy and sell securities for their portfolio without prior authorization for a transaction), according to the terms of the account agreement. The types of investments that we consider for client portfolios are limited to individual stocks, bonds, and other fixed-income securities in addition to exchange-traded funds and mutual funds. We do not invest client monies in alternative investments, real property, illiquid limited partnerships, variable annuities, or other insurance products. Qualifications Wimmer Associates requires that each of its senior investment advisory personnel have at least a master’s degree or a CFA certification and/or many years of experience in portfolio management. The CFA (Chartered Financial Analyst) designation is a globally respected, graduate-level investment credential established in 1962 and awarded by the CFA Institute — the largest global association of investment professionals. To earn the CFA charter, candidates must: 1) pass three sequential, six-hour examinations; 2) have at least four years of qualified professional investment experience; 3) join CFA Institute as members; and 4) commit to abide by, and annually reaffirm, their adherence to the CFA Institute Code of Ethics and Standards of Professional Conduct which requires CFA charter holders to:  Place their clients’ interests ahead of their own  Maintain independence and objectivity  Act with integrity  Maintain and improve their professional competence  Disclose conflicts of interest and legal matters All employees adhere to the Wimmer Associates Code of Ethics (See Item 11). 4  Compensation The compensation Wimmer Associates receives is solely from fees paid directly by clients. We do not receive commissions based on the client’s purchase of any financial product. No commissions in any form are accepted and no referral fees are paid or accepted. No benefits are derived from bank custodians or broker-dealers based on client securities transactions (“soft dollar benefits”). We may recommend other professionals (e.g., lawyers, accountants, insurance agents, real estate agents, etc.) at the request of the client. Other professionals are engaged directly by the client on an as-needed basis even when recommended by the Advisor. Assets under Wimmer Associates management are held in the client’s name by independent bank custodians or broker-dealers of the client’s choice, including Charles Schwab & Co, Fidelity Investments, Northern Trust, and others. Wimmer Associates does not act as a custodian of client assets. Principal Owners The firm was founded, and is owned in its entirety, by Katherine J. Wimmer and Warren R. Wimmer. Katherine J. Wimmer, President, CFA (born January 14, 1953). She graduated from The Darden School, University of Virginia in Charlottesville in 1983 with an MBA. From 1996 to 2003, Kathy was a vice president and principal at Philip V. Swan Associates, LLC. From 1988 to 1996, she was a vice president at Payden & Rygel Investment Counsel. From 1983 to 1987, Kathy held an equity analyst position at William O'Neil and Company. She was a founding board member of Bloom Again Foundation and the San Rafael Library Associates. Kathy is a past president of the Estate Planning Council of San Gabriel Valley Kathy is a past chair of Huntington Memorial Hospital Planned Giving Advisory Board as well as past chair of the Pasadena Library Commission. She currently serves as treasurer on the board of The Friends of the Pasadena Public Library. Warren R. Wimmer, Principal (born November 1, 1957). Warren graduated cum laude from the University of California at Santa Barbara in 1979 with a B.A. in Political Science. He was awarded a Master of Science in Foreign Service degree with an emphasis on energy and natural resources by Georgetown University in 1983. Warren co-authored the World Bank volume, “Attracting Foreign Investment in Lesser Developed Countries.” Returning to his native California, Warren had a fifteen-year career in international banking. He was on the board of the Alliance for Housing and Healing for twenty years and is a past president. Warren is a founding member of the Global Leaders Assembly Foundation and currently serves on its board. Managed Assets As of December 31, 2024, , Wimmer Associates had assets under management of $441,066,000 ($394,841,000 on a discretionary basis and $46,225,000 on a non-discretionary basis.) 5  Item 5 – Fees and Compensation Description The specific way fees are charged by Wimmer Associates is established in a client’s written agreement with Wimmer Associates. Fees are payable quarterly in advance and clients may elect to be billed directly for fees or to authorize Wimmer Associates to debit fees from their accounts. Compensation provided to Wimmer Associates is negotiable and varies by client. Typically, the firm charges a quarterly fee which may be structured as a percentage of assets under management, a flat fee, or a combination of both. Factors influencing the fee structure include portfolio value, cost basis of holdings, meeting frequency and location, discretionary versus advisory authority, and account type (e.g., bond, equity, balanced, income, or growth). For Clients that provide written authorization to the custodian of their investment accounts, Wimmer Associates will arrange to have its management fee automatically deducted from the Client’s account. In this case, the client’s custodian will send statements, at least quarterly, to the client that will reflect the advisory fee paid to Wimmer Associates, but the client should verify the accuracy of fees paid. For those clients that do not provide the written authorization to the custodian of their accounts, Wimmer Associates will send an invoice for Wimmer Associates’ fees directly to the client. In addition to the above, at times, Wimmer Associates may accept "one-time" projects that pertain directly to the investment services described above. Compensation for these projects, which will in all cases not include ongoing monitoring performance reporting or advice, is determined by an hourly fee equal to $480 per hour. Other Fees Wimmer Associates investment management fees are exclusive of brokerage commissions, transaction fees, and other related costs and expenses which shall be incurred by the client. Clients may incur certain charges imposed by custodians and brokers, and other third parties such as custodial fees, wire transfer and electronic fund fees, and other fees and taxes on brokerage accounts and securities transactions. Mutual funds and exchange traded funds also charge internal management fees, which are disclosed in a fund’s prospectus. Such charges, fees and commissions are exclusive of and in addition to Wimmer Associates’ fee. Wimmer Associates shall not receive any portion of the commissions, fees and costs charged by third parties. In many cases, the client could invest in the same mutual fund or exchange traded fund without paying an advisory fee to Wimmer Associates but would not then have the benefit of Wimmer Associates’ advice, review, and monitoring. Occasionally, Wimmer Associates may exclude the value of mutual fund shares held in a client’s account from the total account value in calculating its fee for that client. Item 12 further describes the factors that Wimmer Associates considers in selecting or recommending broker-dealers for client transactions and determining the reasonableness of their compensation (e.g., commissions). 6  Wimmer Associates believes that its fees are competitive with fees charged by other investment advisers for comparable services. Comparable services may be available, however, from other sources for lower fees than those charged by Wimmer Associates. Termination of Agreement Accounts initiated or terminated during a calendar quarter will be charged a prorated fee. A client may terminate the management agreement with Wimmer Associates at any time. Upon termination of any account, any prepaid, unearned fees will be promptly refunded. Item 6 – Performance Based Fees Wimmer Associates does not accept performance-based fee accounts due to the potential conflict of interest. Performance-based compensation may create an incentive for the adviser to recommend an investment that may carry a higher degree of risk to the client. The nature of asset-based fees, however, allows Wimmer Associates to participate in the growth of the client’s wealth. This also means that our asset-based fees can decline when the client’s portfolio declines in value. Item 7 – Types of Clients Wimmer Associates provides investment supervisory services and investment management services to individuals, trusts, family groups, and other types of entities that need ongoing investment advice. The minimum dollar amount of assets of a client under Wimmer Associates’ management is $750,000. Wimmer Associates, in its discretion, may waive the minimum. Item 8 – Methods of Analysis, Investment Strategies and Risk of Loss Methods of Analysis Wimmer Associates uses a fundamental approach focusing primarily on high quality equity and fixed income securities. We utilize internally generated research, and draw from several sources including, but not limited to, Morningstar and Value Line reports, fund prospectuses, S&P reports, financial newspapers and magazines, research materials prepared by others, filings with the Securities and Exchange Commission and annual reports. Employees of Wimmer Associates may also attend meetings with corporate and fund managers, listen to conference calls, and attend industry conferences. Investment Strategies Each client portfolio is constructed for an individual client. The investment strategy for a specific client is based upon the financial objectives, income needs, and tax situation stated by the client during consultations. The client may change these objectives at any time. Wimmer Associates’ primary investment strategy is based on asset allocation in individual stocks and other publicly traded instruments, municipal, corporate and government bonds 7  and actively managed funds. We may also use passively managed index and exchange-traded funds when appropriate for the client. Risk of Loss All investment programs involve risk of loss that clients should be prepared to bear. Our investment approach keeps this risk of loss in mind. As with all investments, however, clients face investment risks including the following: loss of principal, interest-rate risk, market, inflation, currency, reinvestment, business, liquidity, and financial risk. Item 9 – Disciplinary Information Registered investment advisors are required to disclose all material facts regarding any legal or disciplinary events that would be material in evaluating our firm or the integrity of our management. Wimmer Associates and its employees have not been involved in any legal or disciplinary events related to past or present investment activities. Item 10 – Other Financial Industry Activities and Affiliations The only business of Wimmer Associates is that of investment adviser. The firm does not participate in any other industry business activities and does not have any arrangements that are material to its advisory business or its clients with any related person. Item 11 – Code of Ethics, Participation or Interest in Client Transactions and Personal Trading Code of Ethics Pursuant to SEC Rule 204A-1, Wimmer Associates has a written Code of Ethics in place, and it is available to any client or prospective client upon request. Wimmer Associates clients or prospective clients may request a copy of the firm's Code of Ethics by contacting Kathryn Kenney by phone at 626-683-3150 or by email at kkenney@wimmerassociates.com. Wimmer Associates Code of Ethics requires compliance with all applicable laws, rules, and regulations governing our professional activities including prohibitions against Insider Trading. It also requires employees to act with integrity, competence, dignity and in an ethical manner. Employees must be alert to potential conflicts of interest and avoid those situations. Protecting the private information related to our clients and our business is another important requirement of the Code. Wimmer Associates does not disclose any non-public personal information about its clients or former clients to anyone, except as required by law or as requested by the client (e.g. to a tax accountant.) Wimmer Associates restricts access to non-public personal information about its clients to its employees who need to know that information for the purpose of providing services to clients. Wimmer Associates maintains physical, electronic, and procedural safeguards that comply with federal standards protecting clients’ personal information. 8  Participation or Interest in Client Transactions Wimmer Associates and its managers, members, and employees (“WA & Associates”) may personally invest in securities that are also purchased for clients and may hold securities that are later bought or sold on behalf of clients. In certain instances, transactions for Wimmer Associates employees or employee-related accounts may be aggregated with client accounts through block trading. Block trading involving both client and employee accounts can present a potential conflict of interest if allocations are determined after a trade is executed. This practice could create an opportunity for an advisor to favor one client over another or prioritize an employee account over a client account based on market conditions during trading hours. To eliminate this risk, Wimmer Associates enforces a strict policy requiring all block order allocations to be determined before any trade is placed. This pre-trade allocation process ensures transparency, fairness, and equitable treatment for all accounts. Personal Trading Wimmer Associates access persons are required to obtain prior verbal approval for personal transactions from either the Compliance Officer or the President of Wimmer Associates on securities owned by clients of Wimmer Associates that have a market capitalization under $2 billion. Private placements and Initial Public Offerings are prohibited transactions. Item 12 – Brokerage Practices Selecting Brokerage Firms Wimmer Associates does not have any compensatory affiliation with product sales firms. Specific custodian recommendations are made to clients based on their need for such services. Wimmer Associates, when asked, recommends that clients establish accounts with discount brokerage firms (qualified custodians), such as Charles Schwab and Fidelity Investments. Our recommendation of these broker-dealers is based on a number of factors and services provided including the following:  Reputation, financial strength, and stability  The range of available investment products (stocks, bonds (corporate, municipal, U.S. Government Treasuries and Agency), mutual funds, exchange-traded funds (ETFs), etc.)  Access to brokerage firm’s institutional trading platforms to execute client trades  Promptness of trade execution reports  The capability to clear, and settle trades  Custody of client assets  Reporting services and access to client account data (including confirmations, account statements and tax information provided to clients).  The capability to facilitate client requested transfers and payments to and from client accounts (bank wire transfers, check requests, internal client account journals etc.)  Quality of services and the competitive price of those services (commission rates, margin interest rates, etc.)  Transaction, pricing and other market data provided 9   Platform to facilitate payment of our fees from our client’s accounts Wimmer Associates does not receive any direct or indirect compensation from any of these arrangements in exchange for recommending to clients that they use such discount brokers (except for software programs that provide electronic delivery of client information, electronic trading platforms and other services offered by custodians for the benefit of clients). Wimmer Associates may also benefit from other services provided by custodians, such as free research, seminars, and practice management advice. These benefits are standard in a relationship with these custodians and are not in return for client recommendations or transactions. Soft Dollar Benefits The term “Soft Dollar” describes an arrangement under which products or services other than execution of securities transactions are obtained by an adviser in exchange for directing client brokerage transactions to that broker. Wimmer Associates does not participate in any soft dollar program and does not receive soft dollar benefits from any custodian. Order Aggregation Order aggregation is the process of adding together multiple orders into one larger order to purchase or sell the same security. It is also referred to as “Block Trading.” Investment advisers frequently aggregate orders for administrative convenience and to achieve lower execution costs typically associated with larger orders. Generally, clients will receive the average share price on trades executed via an aggregated order. Individual commission rates will not be affected. The client will incur the same commission charge whether a trade order is aggregated or executed individually. Wimmer Associates will attempt to aggregate orders when it is determined it is prudent to place orders for the same security, at the same time, in one or more client accounts. At times, transactions for Wimmer Associates employees, or employee related accounts, may be aggregated with customer accounts in block trading. Item 13 – Review of Accounts Regular Reports Wimmer Associates furnishes written reports to clients on at least a quarterly basis. These client reports include a letter summarizing our general view of the markets and the economy. Our reports are generated from portfolio accounting software maintained by a third-party vendor (Black Diamond) with the data usually supplied daily via a direct download from each client’s custodian. Periodic Reviews Client assets are monitored each business day. At least once each calendar quarter, a Senior Portfolio Manager (and/or the President of Wimmer Associates) analyzes the current holdings of each client portfolio as they relate to the client's investment objectives and risk tolerance, and to the current economic environment. Ad Hoc account reviews may be triggered by changes in market conditions, new information about an investment, changes in tax laws, changes in client’s objectives or by client request. 10  Item 14 – Client Referrals and Other Compensation Wimmer Associates does not participate in any referral program that involves receiving an economic benefit or compensation from an outside party for referrals. Wimmer Associates does not accept referral fees or any form of remuneration from other professionals when a prospect or client is referred to them. Item 15 – Custody Clients will engage an independent brokerage firm, bank, or other qualified custodian of their choice to maintain their accounts so that Wimmer Associates will not have physical custody of clients’ assets, monies, or securities. Since Wimmer Associates may withdraw advisory fees directly from clients’ accounts (as described in Item 5 – Fees and Compensation), however, Wimmer Associates is considered to have custody in a limited capacity. Again, this custody is due solely to the direct withdrawal of fees and does not entail all the same legal and regulatory requirements as an investment adviser with physical custody of clients’ assets, monies, or securities. The qualified custodian provides account statements directly to clients at their address of record at least quarterly, however, most are sent monthly and as account transactions occur. We urge clients to carefully review and compare the account statements received from their qualified custodian with the quarterly reports that we provide. Item 16 – Investment Discretion As described in Item 4 – Advisory Business (pages 4-5), Wimmer Associates manages investment portfolios primarily on a discretionary basis. When a client grants investment discretion to Wimmer Associates, Wimmer Associates has authority to supervise and direct the investments of the client’s account without prior consultation with the client (meaning we may buy or sell securities for a client portfolio without contacting the client prior to the transaction for authorization). Wimmer Associates determines which securities are bought and sold for the account and the total amount of such purchases and sales. Wimmer Associates authority may be subject to conditions imposed by the client, such as restricting or prohibiting transactions in certain securities or directing transactions be effected through specific brokers or dealers. Typically, transactions are placed with the bank or brokerage that has custody of the assets. The practice of rarely obtaining multiple bids may result in less favorable pricing and fees for clients than may be available elsewhere. Wimmer Associates will not exercise any discretionary power without first obtaining written discretionary authority from the client. Discretionary authorization is granted in the Investment Advisory Agreement we execute with our clients. Discretionary authority is also granted by the limited power of attorney in the custodian’s account opening application signed by the client. This authority, however, may be restricted by the terms agreed upon in the Wimmer Associates Investment Advisory Agreement. 11  Although investment decisions may be discussed and agreed on with clients prior to implementation by Wimmer Associates, regardless of the discretionary status of that client’s account, clients may retain Wimmer Associates on either a discretionary or non-discretionary basis. When the client does not grant Wimmer Associates investment discretion, Wimmer Associates recommends to the client the identities and amounts of securities to be bought or sold. If the client approves a recommended transaction and if Wimmer Associates has trading authority, Wimmer Associates directs the execution of the recommended transaction. Item 17 – Voting Client Securities Wimmer Associates has contracted with an independent third party, Egan-Jones Proxy Services, to vote the proxies on the securities held by our clients. Egan-Jones Proxy Services researches the issues and makes informed recommendations to Wimmer Associates on each ballot measure. We can follow those recommendations or use our judgment in casting the votes. Egan-Jones Proxy Services maintains a detailed record on every vote cast and clients may obtain a copy of the proxy voting record on request. Our guiding principle is to vote proxies in the best interest of our clients. In situations involving material conflicts that may arise between the interests of Wimmer Associates and those of our clients, Wimmer Associates will follow the advice of Egan-Jones Proxy Services. If Egan-Jones Proxy Services abstains from making a recommendation, Wimmer Associates will analyze the issues and arrive at our own determination on how to vote. Clients retain the right to vote their own holdings or may direct a proxy vote at any time by calling or writing to inform us of their desired vote. Unless we hear from the client to the contrary, however, we will assume that the client wishes to allow us to decide how the voting of the proxies on his/her shares should be handled. A copy of Wimmer Associates proxy voting policy is available upon request by contacting Kathryn B. Kenney, Vice President of Portfolio Administration in our office. Item 18 – Financial Information Wimmer Associates does not have any financial impairment that would preclude the firm from meeting contractual commitments to clients. A balance sheet is not required to be provided because Wimmer Associates does not serve as a custodian for client funds or securities, other than as described in Item 15 – Custody, and does not require prepayment of fees of more than $1,200 per client, six months or more in advance. 12 

Form ADV, Part 3 CRS (Customer Relationship Summary) June 2024 Wimmer Associates is registered with the Securities and Exchange Commission (SEC) as an Investment Adviser. Investment advisory and brokerage services and fees differ. It is important for you to understand these differences. Free and simple tools are available to research our firm and other firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker/dealers, investment advisers, and investing. Relationships and Services – What investment services and advice can you provide me? Wimmer Associates provides investment supervisory and management services to retail investors, including individuals, trusts and estates, family groups, and other types of entities that need ongoing investment advice. We review our client’s accounts continuously and monitor the cash balances and all actively traded stocks held in their portfolios daily. We manage investment portfolios primarily on a discretionary basis which gives us authority to decide which securities to purchase or sell for your portfolio. However, you may impose restrictions on our authority to invest in a particular asset class, sector, industry, individual security, or types of securities. When a client does not grant Wimmer Associates investment discretion, we will make investment recommendations to the client and the client makes the ultimate decision regarding the purchase and/or sale of their investments. We generally require a minimum amount of $750,000 of assets under management. Wimmer Associates, in its discretion, may waive the minimum. For additional information, please see our Form ADV, Part 2A brochure Items 4, 7, 13, and 16. Ask your financial professional:  Given my financial situation, should I choose an investment advisory service? Why or why not?  How will you choose investments to recommend to me?  What is your relevant experience, including your licenses, education, and other qualifications? What do these qualifications mean? Fees and Costs – What fees will I pay? In addition to our management fees, you may incur brokerage commissions, transaction fees, and administrative charges imposed by custodians and broker-dealers. Also, we may occasionally use mutual funds or exchange-traded funds to fill specific portfolio needs. If we use these funds, you will incur the fund's management and administrative fees. We do not charge performance-based fees. You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying. For additional information, please see our Form ADV, Part 2A brochure Items 5 and 6. Ask your financial professional:  Help me understand how these fees and costs might affect my investments?  If I give you $750,000 to invest, how much will go to fees and costs, and how much will be invested for me? 155 N. Lake Avenue, Suite 440, Pasadena, CA 91101 Telephone: 626-683-3150 * Fax: 626-683-3188  Form ADV, Part 3 CRS (Customer Relationship Summary) June 2024 Standard of Conduct and Conflicts of Interest. What are your legal obligations to me when acting as my investment adviser? How else does your firm make money and what conflicts of interest do you have? When we act as your investment adviser, we must act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the investment advice we provide you. Here is an example to help you understand what this means. As an example: a potential conflict of interest between us might arise if you seek our advice about purchasing a home using money from the portfolio we are managing. It is in our financial interest to maintain the value of your portfolio as that is how our compensation is determined. We do strive to answer these types of questions objectively, but it is important for us to disclose these conflicts and for you to be aware of the potential conflicts. Our only source of revenue is from our work as an investment advisor. We do not receive commissions or invest in commission-based products such as mutual funds with sales loads, annuities, insurance products, etc. How do your financial professionals make money? Our financial professionals are paid salaries and have the opportunity to earn bonuses based on their contributions and the profitability of the firm. We do not receive any commissions in connection with providing investment advice to clients. Wimmer Associates does not directly or indirectly compensate any person, employee or otherwise, for client referrals. Ask your financial professional:  How might your conflicts of interest affect me, and how will you address them? Disciplinary History – Do your financial professionals have legal or disciplinary history? Neither Wimmer Associates, nor its employees, have been subject to any legal or disciplinary events. You can verify this by going to Investor.gov/CRS. Additional Information. We encourage you to seek additional information. If you would like additional, up to date information or a copy of this disclosure, please call our office at 626-683-3150 or, see our Form ADV brochure at: https://adviserinfo.sec.gov/firm/brochure/125243 Ask your financial professional:  Who is my primary contact person?  Is he or she a representative of an investment adviser or a broker-dealer?  Who can I talk to if I have concerns about how this person is treating me? 155 N. Lake Avenue, Suite 440, Pasadena, CA 91101 Telephone: 626-683-3150 * Fax: 626-683-3188