Business Continuity

August Financial Consulting, LLC in conjunction with Mid Atlantic Capital and National Financial Services conduct business in a manner to protect client information and have developed contingency plans to safeguard business flow in the event of a distruption of business. This is described in the following paragraphs. If you have questions, please contact August Financial Consulting, LLC at 952-767-2073.

Mid Atlantic Capital Corporation has developed a business continuity plan describing their response to events that significantly disrupt their business. Since the timing and impact of disasters and disruptions is unpredictable, they are flexible in responding to actual events as they occur. With that in mind, they provide you with this information on a business continuity plan.

Contacting Us (Mid Atlantic Capital): If after a significant business disruption at your branch you cannot contact your representative as you usually do, you should call our corporate offices at 412-391-7077, or go to our website at If you cannot access us through either of those means, you should contact our clearing firm, National Financial Services, LLP, at 617-563-5977 for instructions on how it may provide prompt access to funds and securities, enter trade orders, or process other trade-related, cash, and security transfer transactions for you.

Our (Mid Atlantic Capital) Business Continuity Plan: 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 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 during a period of business disruption.

Our clearing firm, National Financial Services, LLP, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to continue its own operations from an alternate site and be able to complete existing transactions and accept new transactions and payments barring events beyond their control, such as when the market was closed following the September 11 tragedy. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions: Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 2 to 3 days. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 3 to 5 days. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our website or our customer emergency number, 888-747-6426 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer's prompt access to their funds and securities.

For more information: If you have questions about our business continuity planning, you can contact August Financial Consulting, LLC at 3616 County Road 101 South, Wayzata, MN 55391 or