Business Continuity Plan Disclosure Statement

Alamo Capital provides financial services using computer and telephone systems. The events of September 11, 2001 emphasized the importance of the capital markets to our economy. As a result, we have been working on improving our responses to various situations that have the potential to impact our ability to serve you. This disclosure document is designed to provide you with information on how we have approached and/or plan to approach various situations that we may encounter. Overview of Alamo Capital Alamo Capital, a Member Firm of the FINRA & SIPC is a full-service brokerage firm providing customers with execution services on all major exchanges and access to all major markets. These functions are provided primarily in Walnut Creek , California with various broker, and trading systems. Alamo Capital uses various mission critical systems to provide these services to our customers.

Our business continuity planning (“BCP”) first ensures the safety and security of our employees. The events of 9/11 emphasized the unique skill sets of personnel who work in our industry and the need to put their safety first so that after an interruption they are able to continue serving our customers. In addition to protecting our personnel, our BCP and daily operations are focused on preserving our critical firm and customer data through daily back ups which are then moved off-site via media and/or real time and near real time electronic copies of our data at remote locations. Our industry is heavily interconnected with data connections ranging from dial-up modem communication, dedicated private lines, and in many cases, the Internet through encrypted sessions.