July 28, 2016

Business Continuity Plan

NMS Capital Advisors, LLC has developed and implemented a Business Continuity Plan (BCP) designed to address and mitigate the potential consequences of a significant business disruption with a goal of recovering the key aspects of our business within twenty four hours or less. Our BCP also is designed to safeguard employees and protect our books and records.

If after a significant business disruption you cannot contact us as you usually do at 310-955-0020, you should call 800-716-2080 or go to our website at www.nmsadvisors.com. If you cannot access us through either of those means, you should contact our clearing firm, AXOS Clearing LLC at 402-384-6100 for instructions on how it may provide prompt access to funds and securities, enter orders and process other trade related, cash and security transfer transactions for you.

We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

We further believe that we have implemented reasonable and prudent measures to overcome of at least mitigate the consequences of an event that would otherwise interfere with the normal course of our business. However, because it is not possible to anticipate the nature, scope, impact and consequence of every possible business disruption, NMS, LLC does not represent or guaranty that it will be able to continue or resume business operations within any specified period or time under all circumstances.

Our BCP is subject to periodic modification. A copy of the summary of our BCP is available upon request by writing NMS Capital Advisors, LLC., 9171 Wilshire Blvd STE 500, Beverly Hills, CA 90210. Attn: Chief Compliance Officer.

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