| Trade Date | Security | Symbol | Type | Shares | Share Price | Value | Balance |
| 01/05/2010 | DocRaptor Growth Fund | $DOC | Buy | 17 | $3.00 | $51.00 | $151.00 |
| 01/09/2010 | DocRaptor Growth Fund | $DOC | Sell | 5 | $5.00 | -$25.00 | $126.00 |
| 01/12/2010 | DocRaptor Growth Fund | $DOC | Buy | 18 | $5.00 | $90.00 | $216.00 |
| 01/15/2010 | DocRaptor Growth Fund | $DOC | Buy | 8 | $2.00 | $16.00 | $232.00 |
| 01/19/2010 | DocRaptor Growth Fund | $DOC | Sell | 2 | $3.00 | -$6.00 | $226.00 |
| 01/23/2010 | DocRaptor Growth Fund | $DOC | Buy | 11 | $2.00 | $22.00 | $248.00 |
| 01/28/2010 | DocRaptor Growth Fund | $DOC | Buy | 16 | $3.00 | $48.00 | $296.00 |
| 01/29/2010 | DocRaptor Growth Fund | $DOC | Buy | 11 | $1.00 | $11.00 | $307.00 |
| 02/01/2010 | DocRaptor Growth Fund | $DOC | Sell | 3 | $5.00 | -$15.00 | $292.00 |
| 02/05/2010 | DocRaptor Growth Fund | $DOC | Buy | 2 | $2.00 | $4.00 | $296.00 |
| 02/10/2010 | DocRaptor Growth Fund | $DOC | Sell | 19 | $3.00 | -$57.00 | $239.00 |
| 02/12/2010 | DocRaptor Growth Fund | $DOC | Buy | 9 | $3.00 | $27.00 | $266.00 |
| 02/16/2010 | DocRaptor Growth Fund | $DOC | Buy | 1 | $5.00 | $5.00 | $271.00 |
| 02/19/2010 | DocRaptor Growth Fund | $DOC | Buy | 19 | $3.00 | $57.00 | $328.00 |
| 02/21/2010 | DocRaptor Growth Fund | $DOC | Buy | 14 | $5.00 | $70.00 | $398.00 |
| 02/24/2010 | DocRaptor Growth Fund | $DOC | Buy | 3 | $4.00 | $12.00 | $410.00 |
| 03/01/2010 | DocRaptor Growth Fund | $DOC | Buy | 20 | $4.00 | $80.00 | $490.00 |
| 03/04/2010 | DocRaptor Growth Fund | $DOC | Buy | 15 | $2.00 | $30.00 | $520.00 |
| 03/08/2010 | DocRaptor Growth Fund | $DOC | Sell | 12 | $5.00 | -$60.00 | $460.00 |
| 03/13/2010 | DocRaptor Growth Fund | $DOC | Sell | 5 | $5.00 | -$25.00 | $435.00 |
| 03/16/2010 | DocRaptor Growth Fund | $DOC | Sell | 7 | $3.00 | -$21.00 | $414.00 |
| 03/17/2010 | DocRaptor Growth Fund | $DOC | Buy | 13 | $2.00 | $26.00 | $440.00 |
| 03/18/2010 | DocRaptor Growth Fund | $DOC | Buy | 15 | $4.00 | $60.00 | $500.00 |
| 03/22/2010 | DocRaptor Growth Fund | $DOC | Sell | 20 | $3.00 | -$60.00 | $440.00 |
| 03/23/2010 | DocRaptor Growth Fund | $DOC | Buy | 12 | $5.00 | $60.00 | $500.00 |
| 03/26/2010 | DocRaptor Growth Fund | $DOC | Buy | 14 | $4.00 | $56.00 | $556.00 |
| 03/30/2010 | DocRaptor Growth Fund | $DOC | Buy | 10 | $1.00 | $10.00 | $566.00 |
| 04/03/2010 | DocRaptor Growth Fund | $DOC | Sell | 5 | $4.00 | -$20.00 | $546.00 |
| 04/08/2010 | DocRaptor Growth Fund | $DOC | Buy | 8 | $5.00 | $40.00 | $586.00 |
| 04/13/2010 | DocRaptor Growth Fund | $DOC | Buy | 17 | $4.00 | $68.00 | $654.00 |
| 04/14/2010 | DocRaptor Growth Fund | $DOC | Buy | 20 | $4.00 | $80.00 | $734.00 |
| 04/17/2010 | DocRaptor Growth Fund | $DOC | Buy | 4 | $4.00 | $16.00 | $750.00 |
| 04/21/2010 | DocRaptor Growth Fund | $DOC | Buy | 20 | $5.00 | $100.00 | $850.00 |
| 04/25/2010 | DocRaptor Growth Fund | $DOC | Buy | 20 | $2.00 | $40.00 | $890.00 |
| 04/27/2010 | DocRaptor Growth Fund | $DOC | Buy | 19 | $5.00 | $95.00 | $985.00 |
| 04/30/2010 | DocRaptor Growth Fund | $DOC | Sell | 12 | $4.00 | -$48.00 | $937.00 |
| 05/04/2010 | DocRaptor Growth Fund | $DOC | Buy | 14 | $1.00 | $14.00 | $951.00 |
| 05/05/2010 | DocRaptor Growth Fund | $DOC | Sell | 9 | $2.00 | -$18.00 | $933.00 |
| 05/09/2010 | DocRaptor Growth Fund | $DOC | Buy | 20 | $4.00 | $80.00 | $1013.00 |
| 05/14/2010 | DocRaptor Growth Fund | $DOC | Buy | 10 | $3.00 | $30.00 | $1043.00 |
| 05/15/2010 | DocRaptor Growth Fund | $DOC | Sell | 8 | $1.00 | -$8.00 | $1035.00 |
| 05/19/2010 | DocRaptor Growth Fund | $DOC | Sell | 15 | $5.00 | -$75.00 | $960.00 |
| 05/20/2010 | DocRaptor Growth Fund | $DOC | Buy | 10 | $2.00 | $20.00 | $980.00 |
| 05/23/2010 | DocRaptor Growth Fund | $DOC | Buy | 15 | $1.00 | $15.00 | $995.00 |
| 05/27/2010 | DocRaptor Growth Fund | $DOC | Buy | 14 | $1.00 | $14.00 | $1009.00 |
| 05/30/2010 | DocRaptor Growth Fund | $DOC | Buy | 18 | $4.00 | $72.00 | $1081.00 |
| 06/03/2010 | DocRaptor Growth Fund | $DOC | Sell | 11 | $1.00 | -$11.00 | $1070.00 |
| 06/08/2010 | DocRaptor Growth Fund | $DOC | Buy | 10 | $5.00 | $50.00 | $1120.00 |
| 06/12/2010 | DocRaptor Growth Fund | $DOC | Sell | 8 | $5.00 | -$40.00 | $1080.00 |
| 06/13/2010 | DocRaptor Growth Fund | $DOC | Buy | 4 | $2.00 | $8.00 | $1088.00 |
| 06/14/2010 | DocRaptor Growth Fund | $DOC | Buy | 20 | $5.00 | $100.00 | $1188.00 |
| 06/17/2010 | DocRaptor Growth Fund | $DOC | Buy | 4 | $5.00 | $20.00 | $1208.00 |
| 06/18/2010 | DocRaptor Growth Fund | $DOC | Buy | 15 | $3.00 | $45.00 | $1253.00 |
| 06/21/2010 | DocRaptor Growth Fund | $DOC | Buy | 9 | $3.00 | $27.00 | $1280.00 |
| 06/26/2010 | DocRaptor Growth Fund | $DOC | Buy | 18 | $5.00 | $90.00 | $1370.00 |
Investment advisory and investment management services are offered by FinancialRaptor Advisers LLC ("FinancialRaptor Advisers," the successor investment adviser to FinancialRaptor Inc.), an SEC registered investment adviser. The FinancialRaptor Risk Parity Fund is managed by FinancialRaptor Strategies LLC ("FinancialRaptor Strategies," and formerly known as WFAS LLC), an SEC registered investment adviser. Brokerage products and services are offered by FinancialRaptor Brokerage LLC ("FinancialRaptor Brokerage," and formerly known as FinancialRaptor Brokerage Corporation), member FINRA / SIPC. FinancialRaptor Strategies and FinancialRaptor Brokerage are both affiliates of FinancialRaptor Advisers. FinancialRaptor Brokerage holds your cash and securities. RBC Correspondent Services ("RBC") acts as FinancialRaptor Brokerage's clearing firm, which means RBC processes all transactions for your account. View FinancialRaptor Brokerage's most recent Statement of Financial Condition at https://www.docraptor.com/samples/statement.html. Please report any inaccuracies in your monthly statement to support@docraptor.com. This statement is considered accurate if you do not report inaccuracies within 10 business days after receipt of this statement. Any oral communications should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act (SIPA).
To serve the needs of IRA clients and comply with special Internal Revenue Service ("IRS") rules that govern retirement accounts, FinancialRaptor Brokerage has a Custodian Service Agreement with IRA Services Trust Company ("ISTC"), an approved nondepository trust company. ISTC is the Custodian and Trustee for FinancialRaptor IRA accounts. You can learn more about ISTC in the FinancialRaptor IRA Client Account Agreement.
An investment in the Money Market Fund we offer is neither insured nor guaranteed by the Federal Deposit Insurance Corporation (FDIC) or any other government agency. There is no guarantee that the Money Market Fund will be able to maintain its value. At any time, you can choose to liquidate your money market fund shares and have the proceeds either returned to your securities account or remitted to you.
This monthly account statement should not be used for tax reporting purposes. Following each calendar year end, you will receive a Form 1099 for annual tax reporting (including taxable interest, dividends, capital gains, taxes withheld, and sales proceeds). If you have a retirement account, contributions and distributions will be reported on Form 5498 or 1099-R respectively.
FinancialRaptor Strategies is the investment adviser to the FinancialRaptor Risk Parity Fund. Northern Lights Distributors, LLC ("NLD"), member FINRA and SIPC, serves as the principal distributor for the Fund. NLD is not an affiliate of FinancialRaptor Strategies.
The prices of securities have been obtained from quotation services and other independent sources if available. Prices are typically based on the closing price. If no price is available from a quotation service or other independent source, the market price is shown as Not Available ("NA"). The prices on your monthly statement are provided as general information, and we do not guarantee the accuracy of any security's price. Certain security types trade differently than equities or may not trade on a liquid exchange. For additional information on bond holdings, please contact us at support@docraptor.com.
FinancialRaptor Brokerage is a member of Securities Investor Protection Corporation (SIPC), which protects securities of its members up to $500,000 (including $250,000 for claims for cash), in the event FinancialRaptor Brokerage were to go out of business. Securities held at FinancialRaptor Brokerage are not FDIC-insured. An explanatory brochure is available on request at www.sipc.org or by contacting SIPC at 202-371-8300.
FinancialRaptor Brokerage is happy to provide the identity of the firm to which your orders were routed over the previous six months upon request. Please send your request to support@docraptor.com.
All confirmations are generated on the trade date and are available for viewing on your FinancialRaptor Adviser's dashboard under "Taxes and Documents" on the following day. Money market fund purchases are included on your monthly statements.
Your cash balance is the amount of funds you can withdraw. You have the right to receive any cash balance to which you are entitled, less any amounts you owe on any of your accounts (such as advisory fees or interest). Your cash balance is not segregated and may be used by FinancialRaptor Brokerage in its business, subject to the limitations of U.S. Securities Exchange Commission Rule 15c3-3. What this means is that although your cash balance is not segregated, a bank account for the exclusive benefit of FinancialRaptor Brokerage customers has a cash balance set aside to ensure that your funds are safe.