KINGSVIEW INVESTMENT MANAGEMENT - Key Persons

Job Titles:

• CMT®Chief Technical Analyst

Buff Pelz Dormeier, CMT®, is a foremost expert in the field of volume analysis and founder of VolumeAnalysis.com. He has over 25 years' experience dynamically managing private investment portfolios for affluent individuals, institutions, trusts, endowments and financial advisors. An Award winning industry innovator, Dormeier is the developer of Volume Weighted Moving Averages (VWMAs), the VW-MACD, the Volume Price Confirmation Indicator (VPCI), VPCI Stochastics, the Anti-Volume Stop Loss (AVSL), the Trend Thrust Indicator (TTI), Capital Weighted Volume Indexes, as well as a host of capital weighted volume based breadth indicators. Buff's work with market indicators and trading system design has been published and/or referenced in Barron's, Stock's & Commodities, C-NBC, The Financial Times, and Active Trader magazines, as well as the IFTA & MTA Journals. An award-winning author (2012's Technical Analyst Book of the Year / Trader Planet's Top Book Resource 2011), Buff literally wrote the book on "Investing with Volume Analysis", partnering with the Financial Times Press, Pearson Publishing and the Wharton School. As a Chartered Market Technician, Buff received the 2007 Charles H. Dow Award recognizing research papers breaking new ground or which make innovative use of established techniques in the field of technical analysis. The Charles H. Dow Award is considered one of the most important awards in the field of technical analysis. Buff is also featured in "Technical Analysis and Behavior Finance in Fund Management" - an international book comprised of interviews with 21 successful portfolio managers who employ technical analysis as a performance driver. Buff, an evangelist of sorts, enjoys sharing his investment theories on volume analysis. He has presented at international conferences such as Latin America's Portfolio Manager Conference, TradeStation's World Conference, the World Moneyshow and Metastock's Traders Summit. Buff, a former Fort Wayne / Indiana Marathon champion, still enjoys a good long run on occasion. He is married to his beloved bride Kathy, father of two adored children Hadassah and Kaleo, and best friend to his Rhodesian Ridgeback Dutch.

Job Titles:

• in State Wealth Advisor, 2018 - 2020

Job Titles:

• Vice President of Advisor Strategy for Kingsview Partners
• VP, Advisor Strategy

Jake Bauer is the Vice President of Advisor Strategy for Kingsview Partners. His primary role is to support Kingsview advisors and assist them to become the advisor they always envisioned. He also serves on the Kingsview Investment Management Investment Committee, helping advisors to implement KIM strategies, and provide the best advisory experience. Jake graduated from Indiana University's prestigious Kelley School of Business in 2019 with a Bachelor's Degree in Finance and International Business. In addition, he was accepted into the Hutton Honors College and awarded Distinction for his work in his major. During his undergraduate experience, Jake excelled out of the classroom working for one of Chicago's largest local banks, Wintrust Financial in both Treasury Management and Credit Analysis and had frequent meetings and presentations with upper management. When he is not on the phone with advisors, Jake enjoys golf, working out, and spending time with family. He is also very passionate about philanthropy, as his family created the Lauri S. Bauer Foundation for Sudden Loss and incorporates that passion into his everyday life. Jake lives in Chicago with his brother, Alex, and Husky Maverick.

Job Titles:

• Member of the Investment Committee
• Co - Chief Compliance Officer

Kevin Swanson serves as the Co-Chief Compliance Officer of Kingsview Wealth Management, LLC, overseeing the firm's investment management division. Kevin has over 20 years of professional experience. Previously at Cedar Capital, LLC, Kevin served as Chief Compliance Officer, responsible for developing, implementing and communicating an enterprise compliance program for the firm and its affiliates. Prior to his role as CCO, Kevin also served as Vice President of Trading and had responsibilities in operations, finance and billing. Kevin earned an MBA with High Honors from The University of Chicago Booth School of Business, an MSEE from National Technological University and a BSEE from The University of Illinois at Urbana-Champaign. In addition, Kevin holds Series 7, 24 and 63 licenses and achieved the NRS Investment Adviser Certified Compliance Professional (IACCP) designation.

Job Titles:

• Chief Trading Officer

Mitch has worked with Kingsview since 2010 and has assumed increasing responsibility during his tenure, serving as Head Trader for 3 ½ years, and then as Director of Trading for the last five years. Mitch oversees all trading operations within the firm from Chicago and runs the day-to-day trading operations of Kingsview Investment Management. He will also continue to sit on the investment committee. Mitch helps Advisors, fellow Portfolio Managers and the Investment Committee implement investment strategy, and assists in guiding portfolio implementation within Kingsview's systems. He is a Chartered Financial Analyst (CFA) and holds the Certificate in Investment Performance Measurement (CIPM) Designation, both designations issued by the CFA Institute. Mitch also spearheads the GIPS efforts of Kingsview Investment Management and oversees its claim of compliance with the GIPS standards in investment performance reporting. On a personal note, Mitch is a Florida Institute of Technology graduate and holds a B.S. in Aviation Management. He is a licensed pilot and flight instructor, and worked as an instructor at Sawyer Aviation in Scottsdale, Arizona before his deep interest in the financial markets led him to pursue work in financial services. Mitch began his finance career in Fort Lauderdale as a Commodity Broker before joining Kingsview's Chicago team in 2010.

Job Titles:

• Member of the Investment Committee
• Portfolio Manager
• Portfolio Manager at Kingsview

Neil Peplinski is a portfolio manager at Kingsview. With over 20 years of professional experience, Neil is responsible for research, investment analysis and the development of new investment strategy models. Prior to Kingsview, he co-founded Cedar Capital, a partner company of Good Harbor Financial, where he served as Chief Investment Officer. He also served as portfolio manager and quantitative analyst for Allstate Investments. Neil earned a MBA with High Honors from The University of Chicago Booth School of Business, a MSEE from the University of Michigan and a BSEE from The Michigan Technological University where he graduated summa cum laude.

Job Titles:

• Vice President of Advisor Strategy With

Richard Holmes is the Vice President of Advisor Strategy with Kingsview Investment Management. His primary role is to assist Kingsview advisors as a consultant for investment strategy and portfolio implementation. Rich had over 15 years of experience in small business management prior to joining the finance industry in 2013. He holds multiple degrees from the University of North Carolina at Charlotte, including a B.S. in Finance and an MBA focusing on Applied Investment Management. He comes to us from LPL Financial, where he served in several strategic positions. When he's not working with advisors, Rich enjoys spending time with friends and family, woodworking and traveling. He is also a passionate cook and avid outdoorsman. He currently resides in Huntersville, NC, with his wife and two sons.

Job Titles:

• Chief Investment Officer
• Chief Investment Officer of Kingsview Wealth Management

Scott D. Martin is Chief Investment Officer of Kingsview Wealth Management, a Registered Investment Advisor (RIA) based in Chicago, Illinois. He also serves as an Index Specialist with Monarch Funds. Prior to Kingsview, Mr. Martin was Chief Market Strategist at United Advisors, LLC, a wealth management firm based in New York City where he was co-chairman of the firm's investment committee and was responsible for portfolio strategy that was utilized with both firm and third party clients. Mr. Martin began his highly regarded career at Astor Asset Management in Chicago, where he was co-portfolio manager on all of Astor's ETF-based separate account programs as well as on Astor's mutual fund complex, which was launched in 2009. At the company, he and his team were named one of the "Best ETF managers" of 2008 by Forbes and he was author of the weekly "Astor Long/Short Balanced Update" newsletter, which received the NAAIM President's Award for excellence in financial newsletter writing. A frequent speaker and lecturer, Mr. Martin has been featured in print and broadcast media such as The Wall Street Journal, Investor's Business Daily, and Yahoo! Finance. He is a former columnist with TheStreet.com and is a volunteer with the The Anti-Cruelty Society of Chicago. Mr. Martin earned his Certified Investment Management Analyst® designation offered through the Investments & Wealth Institute™, and was named one of Chicago's Notable Financial Advisers by Crain's Chicago Business magazine. Mr. Martin is a recognized graduate from Denison University where he completed a double major in Economics and French, and spent months abroad studying the introduction of the Euro currency and its impact on gloabl markets.

Job Titles:

• Chief Executive Officer
• Member of the Investment Committee
• Chief Executive Officer for Kingsview Partners

Sean McGillivray is the Chief Executive Officer for Kingsview Partners. He runs the firm's day-to-day operations, oversees the administrative staff, and is an operations and technology integration expert. He also sits on the investment committee and works with the firm's custodial partners to manage the advisor onboarding process. Kingsview Partners and its subsidiaries have experienced exponential growth under Sean's leadership, reaching new investors and advisors alike. As the ultimate architect of Kingsview's "Elevating the Standard of Care" mission, he is the steward of the firm's culture and has positioned Kingsview to offer competitive, value-oriented services. Sean was charged with building out the advisory services of the firm when he joined Kingsview in 2013. He excelled in this capacity and was promoted to CCO and COO in 2016. He was then tasked with overseeing both Kingsview compliance and operational priorities. Prior to Kingsview, Sean was an advisor and executive at Great Pacific Trading Company, where he pioneered the firm's use of managed commodity products and entrance into the financial advisory business. His tenure at Great Pacific gave him great insight into diversified business lines and ensuring that services matched investor's needs. Sean has spent his entire career challenging the industry to prove the value of its offerings and encouraging investors to demand more. This mindset is the cornerstone of the Kingsview Partners mission, and the firm works daily to ensure that every client receives competitive-proof service. At the end of the day, Sean is a family man who resides in Southern Oregon. He is an avid outdoorsman and a private pilot, and enjoys sharing these interests with his two sons and lovely wife, Amy.

Job Titles:

• Member of the Investment Committee
• Portfolio Manager
• Portfolio Manager With Kingsview

Yash Patel is a portfolio manager with Kingsview and brings 14 years of professional experience to the firm. Prior to joining Kingsview, Yash was the COO of Cedar Capital, a partner company of Good Harbor Financial, where some of his responsibilities included the management and leadership of operations, technology, trading, and portfolio management. His previous role as quantitative equity analyst for Allstate Investments lead him to develop and implement model-driven trading strategies. Yash has also worked and consulted for hedge funds including Bridgewater Associates and Citadel Investment Group. Preceding his career in financial services, Yash spent several years in the software industry with a focus on systems architecture and application development. Yash earned a MBA with Honors from The University of Chicago Booth School of Business and a BS CSE from The Ohio State University.