Privacy Pledge to Our Clients

The protection of your privacy and respect for it is extremely important to Harvey Investment Company, LLC ("Harvey"). This pledge describes how we protect the confidentiality of the personal information you share with us.

Client Information
The information we collect is limited to that which is useful to conduct our business; to protect and administer your records, accounts and funds; to comply with regulatory laws and regulations; to help us design or improve our services and to understand your financial needs so we can provide you with superior service. Information comes from the following sources:

• Information on applications or forms, such as assets and income
• Information about transactions and business done with us as reflected on accounts
• Information we obtained at your request

Information We Share
We want you to rest assured that we do not sell customer information or customer lists to third parties. We do not share information about our customers or former customers except as described herein.

Sharing Information With Our Parent Company and Affiliates
We may share information with our parent company, WealthTrust LLC, and its board. Included in this information is summary data about all of our clients, specifically account balances and advisory fees paid.

The law allows us to share this information and information about our transactions and experiences with you and WealthTrust LLC and our affiliated companies.

Sharing Information With Companies That Work With Us
In order to conduct company business, Harvey may share some or all of the information we collect, as described above, with companies that perform services for us such as account custodian, auditors and systems management. These companies that act on our behalf are contractually obligated to keep confidential information we provide them, and use the information only for the purposes authorized

Sharing Information In Other Situations
We may share some or all of the information we collect, as described above, or as otherwise authorized or required under applicable law. This includes, for example, disclosures to process and service your requested or authorized transactions; disclosures in connection with subpoenas or other legal processes; disclosures as part of fraud investigations; disclosures in connection with audits and examinations; and disclosures pursuant to your authorization or consent.

Protecting Information About You
We restrict access to information about you to those employees who need to know that information as part of their job responsibilities. We also educate our employees about the importance of confidentiality and client privacy through standard operating procedures, special training programs, and our compliance requirements. Harvey also maintains physical, electronic, and procedural safeguards to guard your information. We continue to test and update technology to protect client information.

Protecting Information About Our Former Clients
Our Privacy Pledge regarding the collection, use and disclosure of information about former clients is the same as our pledge to existing customers.

We want to Maintain Accurate Information
We recognize we must maintain accurate customer records. For that reason, we have established procedures to maintain the accuracy of your information and to keep such information current and complete. These procedures include responding to requests to correct inaccurate information in a timely manner. If you believe our customer records contain incorrect information, call or write to us at the telephone number or address listed on your account statement or other documentation.

Contact Us If You Have Questions About Our Privacy Pledge
If you have questions about this Privacy Pledge, please call us at 502-339-8270 from 9 A.M. to 5 P.M. (EST) Monday through Friday.

Keeping Up to Date With Our Privacy Pledge
This Privacy Pledge is subject to change from time to time. You can always request a copy of our current Privacy Pledge by contacting us at our offices. We will notify and remind you each year about Harvey's Privacy Pledge.

Miscellaneous Information
This Privacy Pledge applies to individuals who obtain or have obtained from us a financial service used primarily for personal or family account purposes. The laws of some states may impose separate requirements regarding particular types of information about clients and disclosure for those respective states. This Privacy Pledge is provided in compliance with applicable law and replaces all other notices, statements or agreements with respect to the same subject matter.