Simon Gareth Baker

Credit Suisse Securities (USA) LLC (Credit Suisse Securities USA) is the broker/dealer division of Credit Suisse Securities (USA) LLC, an investment banking company headquartered in New York City. The firm was founded in 1998 and is a wholly owned subsidiary of Credit Suisse (USA), Inc., ultimately owned by Credit Suisse Group AG (SWX: CSGN) in Switzerland. Credit Suisse Securities USA offers a suite of equities, solutions and credit products and services which includes global securities sales, trading and execution, prime brokerage and comprehensive investment research. Their clients include financial institutions, corporations, governments, institutional investors, such as pension funds and hedge funds, and private individuals around the world.

Founded in 1851, Glens Falls National Bank & Trust Co. is a subsidiary of Arrow Financial Corp. (NASDAQ: AROW), a New York corporation and bank holding company. Glens Falls National Bank & Trust offers access to a full range of investments including stocks, bonds, mutual funds and annuities through their partnership with LPL Financial, a registered broker/dealer. The firm manages a wide range of individual, institutional and charitable accounts, including: Personal and Charitable Trusts; Investment Management Accounts and IRAs; Pension, Profit-Sharing and 401(k) Plans; and Other Types of Retirement Plans.

Congress Asset Management Co. LLP (Congress Asset) is a SEC-registered investment advisor headquartered in Boston, Massachusetts. The firm was founded by Alfred Lagan in 1985 and is majority owned by the Lagan Holding Company Trust. Congress Asset provides discretionary and model portfolio investment management services to individual and institutional clients who include charitable organizations, pension and profit-sharing plans, including plans subject to the Taft-Hartley Act and the Employee Retirement and Income Security Act (ERISA), state and municipal government entities, corporations, taxable and tax-exempt institutions, high net worth individuals and commingled investment vehicles such as mutual funds.

UBS Securities LLC is an investment bank and registered broker/dealer headquartered in New York City. The firm was founded in 1998 as UBS Warburg LLC. They are a subsidiary of UBS Americas Holding LLC, ultimately held by UBS Group AG (SWX: UBSG, NYSE: UBS) in Switzerland. UBS Securities is a primary dealer in US Government securities and provides a full range of investment banking services which includes corporate finance, mergers and acquisitions, capital markets, trading and sales, fixed-income, equity research, private banking, underwriting and prime brokerage operations. The firm also provides advisory services and access to capital markets for corporate, institutional, intermediary and alternative asset management clients.

Schwab Charles & Co., Inc. engages in the provision of investment products and services to retirement and other benefit participants. It offers trading, banking, small business solutions, investment tools and research. The company was founded in 1971 and is headquartered in San Francisco, CA.

North Country Investment Advisers, Inc. (NCIA) is a registered investment advisor headquartered in Glens Falls, New York. The firm is a subsidiary of Glens Falls National Bank & Trust Co., which is owned by Arrow Financial Corp. (NASDAQ: AROW). NCIA provides investment advisory services to individual and institutional clients.

Part of Helloworld Travel Ltd., Council Travel is a travel agency that specializes in serving students. Council Travel was acquired by STA Travel, part of Helloworld Travel Ltd. from November 30, 2021 on May 06, 2002.

Founded in 2003 by Benjamin Howe and Maria Lewis Kussmaul, America's Growth Capital LLC (ACG) is an emerging growth-focused, research, broker/dealer and investment banking firm headquartered in Boston. The firm is a subsidiary of America's Growth Capital Holdings LLC. They seek to identify small-cap opportunities and bring new investment opportunities to growth-oriented institutional and private equity investors. AGC completes investment banking transactions for emerging growth companies in the following industries: (1) technology including communications, data center, financial technology, information security, semiconductors and software (2) clean technology, (3) digital media/Internet and (4) business services. They have participated in transactions ranging in size from $6 million to $1 billion. These transactions have included buyouts, buy-side and sell-side advisory assignments, private placements, PIPEs, IPOs, follow-ons and fairness opinions. The firm's Capital Markets group provides analysis on leading emerging growth sectors with a focus on identifying dynamic changes and trends in their focus industries. They present ideas through: (1) white papers, which provide topical and industry-wide analysis by highlighting the leading small-cap public and private companies of influence (2) thought pieces, which illustrate the impact of current events such as legislation, market swings and (3) capital market updates which present comprehensive statistics and data on one or more product areas including IPOs, M&A, private placements, etc. that have an impact on the emerging growth universe. AGC maintains relationships across multiple pools of capital including institutional, private equity, venture capital, hedge fund, sovereign wealth and debt. They leverage those relationships to provide clients with the best sources of financing for their particular needs.

Oppenheimer & Co., Inc. (Broker) (Oppenheimer-Broker) is the global full-service brokerage division of Oppenheimer & Co., Inc., an investment boutique headquartered in New York City with additional offices nationwide. Founded in 1975, the firm is owned directly by Viner Finance Inc., an indirect subsidiary of Oppenheimer Holdings Inc. (NYSE: OPY). Oppenheimer-Broker offers a full array of brokerage services to retail, institutional, and corporate clients.

Engage121, Inc. provides communications software and services to national franchisors, dealerships, and direct sellers. The firm’s services include SMA and Enterprise and Local Edition. The company was founded by Jon B. Victor in 1998 and is headquartered in Norwalk, CT.

Greenough Communications, Inc. provides public relations services. The firm offers media relations, mergers and acquisitions, strategic planning and positioning and crisis communications services. The company was founded in 1999 and is headquartered in Watertown, MA.

FIAM LLC (do-business-as Fidelity Institutional Asset Management) is a SEC-registered investment advisor headquartered in Smithfield, Rhode Island. The firm was founded in 2006 and formerly known as Pyramis Global Advisors LLC. They are wholly-owned by FIAM Holdings LLC, which in turn is owned by FMR LLC, aka Fidelity Investments. FIAM provides discretionary investment management services to institutional accounts. The firm also sub-advices funds or accounts for affiliated advisers and unaffiliated advisers.

FMR LLC engages in the provision of financial and investment services. It offers financial planning and advice, wealth management, retirement plans, trading and brokerage services, and investment products. The company was founded by Edward C. Johnson II in 1946 and is headquartered in Boston, MA.

Shire Human Genetic Therapies, Inc. develops medicines for the treatment of genetic diseases. The company was founded on July 7, 1988 and is headquartered in Lexington, MA.

American Epilepsy Society is a community of professionals dedicated to improving outcomes for persons with epilepsy. The non-profit company is based in West Hartford, CT. The company is the home of epilepsy science and medicine, engaged in the understanding, diagnosis, study, prevention, treatment, and cure of epilepsy.

Private Co. provides integrated business performance Internet site services for small to medium size businesses. The company also provides industry performance data and assessment tools for small to medium size companies. The company was headquartered in Chester, NJ.

Rudolf Steiner Foundation, Inc. provides financial investment services. The firm specializes in investing, lending and giving, sustainable food and agriculture, ecological stewardship, education and the arts. The company was founded by Mark A. Finser, Siegfried Finser, Ann Stahl, Philip Mees and John Alexandra in 1936 and is headquartered in San Francisco, CA.

Spectrum Global Fund Administration is a premier provider of independent, third-party administration to the alternative investment industry. They offer a full suite of administration solutions to Hedge Funds, Hedge Funds of Funds, Managed Account Platforms, Commodity Trading Advisors, Commodity Pool Operators, Family Offices and other Investment Management Firms. Spectrum is committed to providing their clients with the operational infrastructure and controls needed to meet and exceed industry best practices. Their industry leading solutions are generated through a synergy of experienced people, controlled processes and superior technology.

Sky Road LLC provides cloud-based solutions to the financial services industry. The private company is based in Downers Grove, IL.

Continuum Wealth Advisors LLC (Continuum) is an independent, SEC-registered investment adviser headquartered in Saratoga Springs, New York. Continuum was founded in 2010 and offers investment advisory services to individuals, high-net worth individuals, trusts, estates, and retirement plans.

Service Provider Capital LLC (Service Provider Capital) is a venture capital firm founded in 2014 by Jody Shepherd and Noah Pittard. The firm is headquartered in Golden, CO.

Longboard Asset Management LLC (Longboard) is an independent, SEC-registered investment advisor and alternative investment firm headquartered in Phoenix, Arizona. The firm was founded by Cole Wilcoxin 2010. Longboard specializes in hedged equity mutual funds for financial advisors that seek the majority of equity returns with limited downside risk.