Business Continuity Plan

For BKS Advisors, L.L.C.

This disaster recovery and business continuity plan is designed to be utilized in the event of a short or long term disruption to business operations. Short term disruptions may occur when the firm is unable to utilize its current office space, computers or other critical communications. Long term disruptions may occur when the firm is unable to use critical applications or unable to enter its office location (Southfield, MI) for any reason. In the event of a long term disruption, the firm has designated the home of Kenneth Brandt in Farmington Hills, Michigan as a temporary backup location. All incoming phone calls will be forwarded to this backup location. In the event that clients cannot contact a representative of the firm they should contact the custodian of their assets at the phone number located on the statement of their account.

If the management of BKS Advisors, L.L.C. deems that its Southfield, MI office location will not be habitable for an extended period of time, they may rent new office space and relocate to a new permanent location. Kenneth Brandt and Craig Simmons will be responsible for finding new permanent office space. Jeremy Brandt will be responsible of contacting service providers for the resumption or transference of vital services. Lynn Potrykus will orchestrate the notification to clients. Craig Simmons will perform financial assessments of the firmís capital position.

BKS Advisors, L.L.C. will test the back up location at least annually. As part of the annual test a back-up server provided by Visicom will be brought to the back-up location. BKS Advisors, L.L.C. will recover data from a tape or USB backup. BKS Advisors, L.L.C. will verify that it has access to all data and internet connections necessary for normal business operations.

BKS Advisors, L.L.C. will also keep copies of critical documents at the back up-location.

Computer back-up procedures:

The onsite server is backed up twice daily at 12PM and 12AM to disk. This is done 7 days a week.  These daily backups are then securely syncíd to an offsite storage location on a daily basis.  Currently Lynn Potrykus has responsibility for the onsite server, and the backup system.  In addition, there is a data back-up performed on desktop PCís to external hard drive 3 times daily.

BKS Advisors, L.L.C. has contracted with Visicom a Michigan based computer network service firm to provide the required hardware and consulting services in the event that hardware or data recovery is necessary to maintain the normal business operations of the firm.

Back-up communication procedures:

In the event of a short term disruption of telephone (landline) services, employee cell phones will be used temporarily. In the event of a long term disruption of services, the designated backup location will be used. In this case, the firm will instruct the telecommunications company to re-direct calls to Brandtís landline phone. BKS Advisors, L.L.C. currently utilizes a broadband cable connection. In the event that BKS Advisors, L.L.C. temporarily loses connection, telephones and fax machines will be used. In the event of a longer term disruption BKS Advisors, L.L.C. may use the firms back up location which currently utilizes a DSL connection.