AML POLICY

AN INVESTMENT IN A BUSINESS DEVELOPEMENT COMPANY (BDC), TRI-PARTY VENTURE FUND^®, OR ANY OTHER FUND WHICH MAY BE SPONSORED BY CAPITAL Q^® VENTURES INC. OR MANAGED BY ITS SUBSIDIARY CAPITAL Q^® MANAGEMENT LLC (COLLECTIVELY “CAPQ”) INVOLVES A HIGH DEGREE OF RISK AND MAY BE CONSIDERED SPECULATIVE. INVESTORS ARE ADVISED TO CONSIDER THEIR INVESTMENT OBJECTIVES, RISKS, CHARGES, AND EXPENSES OF THE APPLICABLE FUNDS CAREFULLY BEFORE INVESTING. FOR FUNDS OFFERING SHARES AND/OR LIMITED PARTNERSHIP UNITS TO NEW AND EXISTING INVESTORS, THE APPLICABLE FUND’S PRIVATE PLACEMENT MEMORANDUM (‘PPM”) OR PROSPECTUS, CONTAINING IMPORTANT INFORMATION INCLUDING RISKS, CHARGES AND EXPENSES MAY OBTAINED DIGITALLY, FREE OF CHARGE, AT THE “OUR FUNDS” SECTION OF THIS WEBSITE, OR BY CONTACTING CAPITAL Q VENTURES INC. AT 100 EAST FAITH TERRACE SUITE 1016 MAITLAND, FL 32751 OR BY PHONE AT 407-307-CAPQ (2277). POTENTIAL INVESTORS SHOULD READ AND CAREFULLY CONSIDER ALL INFORMATION FOUND IN THE APPLICABLE FUNDS’ PPM OR PROSPECTUS INCLUDING ANY ATTACHMENTS, SUPPLEMENTAL, OR ADDENDUMS BEFORE INVESTING. THIS IS NEITHER AN OFFER TO SELL NOR A SOLICITATION OF AN OFFER TO BUY ANY SECURITIES DESCRIBED HEREIN. AN OFFERING IS MADE ONLY BY A PPM OR PROSPECTUS, WHICH MUST BE MADE AVAILABLE TO YOU IN CONNECTION WITH ANY OFFER. NO OFFERING IS MADE TO NEW YORK INVESTORS EXCEPT BY A PROSPECTUS FILED WITH THE DEPARTMENT OF LAW OF THE STATE OF NEW YORK. INDIVIDUAL AND INSTITUTIONAL INVESTORS AND ENDOWMENTS MAY HAVE DIFFERENT INVESTMENT HORIZONS, LIQUIDITY NEEDS, AND RISK TOLERANCES. IN ADDITION, FEES MAY BE INCURRED BY AN INVESTOR IN ANY OF THE FUNDS SPONSORED BY CAPQ, WHICH MAY BE DIFFERENT THAN FEES INCURRED BY AN INVESTOR INVESTING IN SIMILAR ASSETS AS THOSE IN WHICH THE FUNDS INVEST.

CAPITAL Q^® VENTURES INC. AND CAPITAL Q^® MANAGEMENT LLC (CRD# 305337 / SEC# 802-117297) IS AN EXEMPT REPORTING ADVISER (“ERA”) WHICH IS AN INVESTMENT ADVISERS THAT IS NOT REQUIRED TO REGISTER AS A REGISTERED INVESTMENT ADVISER (“RIA”) BECAUSE WE RELY ON CERTAIN EXEMPTIONS FROM REGISTRATION UNDER SECTIONS 203(L) AND 203(M) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RELATED RULES. THERE IS NO SINGLE ENTITY THAT COMPRISES CAPITAL Q^® VENTURES INC AND ITS AFFILIATES AND EACH ENTITY HAS SEPARATE LEGAL EXISTENCE.

NO SECURITIES ARE OFFERED WITHIN THIS WEBSITE AND WHEN OFFERED SEPARATELY ARE EXCLUSIVELY BY PPM, PROSPECTUS AND/OR OTHER OFFERING MEMORANDUM, WHICH FROM TIME TO TIME MAY BE OFFERED THROUGH OUR ASSOCIATES OR REGISTERED REPRESENTATIVES WITH INNOVATION PARTNERS LLC (CRD#: 146344 / SEC#: 801-78702,8-67812) WHO IS A MEMBER OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) AND THE SECURITIES INVESTOR PROTECTION CORPORATION (SIPC) OR BY YOUR FINRA BROKER-DEALERS AND REGISTERED INVESTMENT ADVISOR (RIA) (AS MAY BE THE CASE) AND THROUGH VARIOUS SEC RIA’S AND FINRA BROKER-DEALERS WHO HAVE SIGNED SOLICITING BROKER AGREEMENTS. WHILE CAPQ MAY SYNDACTES INVESTMENTS ANS SPECIAL PURPOSE VEHICLES (SPV) OF MANY OF ITS PORFOLIO COMPANIES, THIS WEBSITE SHALL NOT BE INTERPRETED TO BE AN INVESTMENT PORTAL, CROWDFUNDING PORTAL, OR SIMILAR SUCH ENTITY. THIS SITE OCCASIONALLY USES TERMINOLOGY THAT MAY BE INTERPRETED TO SUGGEST THAT OUR FIRM IS A FINRA BROKER/DEALER, WHICH IS NOT THE CASE.

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