Three Peaks Capital Management, LLC

Three Peaks Capital Management, LLC, established in July 2003, is a registered investment adviser specializing in asset management for various clients, including individuals, high net worth individuals, charitable institutions, and corporations. The firm focuses on investing in fixed income and equity securities, with expertise in the high yield market. Clients can have discretionary or non-discretionary advisory services, with no minimum account size required but sufficient assets needed to utilize their investment strategies. The firm charges fees based on a percentage of assets under management, with a maximum annual advisory fee rate of 1.50%. Three Peaks' investment philosophy emphasizes long-term total return and capital preservation, with strategies including high yield, opportunity growth, and diversified approaches. The firm conducts fundamental, technical, and cyclical analysis, aiming for stable performance across economic cycles. Risks associated with investing in securities are disclosed, including stock market, interest rate, credit, and liquidity risks. Three Peaks follows a Code of Ethics, prohibits personal securities transactions without pre-clearance, and does not participate in performance-based fees. The firm has not had any legal or disciplinary events in the past 10 years. Clients grant investment discretion to Three Peaks, which also handles proxy voting for designated securities. The firm has implemented procedures to safeguard client assets and does not accept prepayment exceeding $1,200 per client.