Business Continuity Plan Disclosure

Arq Advisors LLC (“Arq”), pursuant to Financial Industry Regulatory Authority, Inc. (“FINRA”) rules, has created a Business Continuity Plan, to address and guide our response to and recovery from Significant Business Disruptions (“SBDs”). Copies of this Summary Disclosure Statement shall be given to all clients at the time of initial adjustment with Arq Advisors LLC. Arq’s Business Continuity Plan is subject to modification and an updated summary will be promptly provided to our clients. Alternatively, clients may obtain updated summaries by requesting a written copy by mail or fax.

In all of the following scenarios, Arq plans to continue business and our planned recovery time, depending upon the time of occurrence, should not exceed 24 hours from the time of the declaration of the SBD. Staff, telephone calls, and e-mails will return to their original location upon full restoration of service.

Disruption to Arq’s telephone service

If Arq Advisors’ telephone and/or email services are not operational, Arq will relocate to 234 Liberty Corner Road, Far Hills, NJ 07931

and contact clients via personal cell phones.

Disruption to a single building or our Firm’s main office

If a disruption occurs at our main office we will relocate to 234 Liberty Corner Road, Far Hills, NJ 07931

Disruption to a business district

If a disruption occurs in our business district affecting our main office, we will relocate to the nearest reasonably available, suitable office location, and/or allow staff to work from home and utilize personal means of communication (telephone, email). These locations will be in New York, New York.

City-wide business disruption

If a disruption occurs in our city-wide area that affects our main office location we will relocate to the nearest reasonably available, suitable office location, and/or allow staff to work from home and utilize personal means of communication (telephone, email). These locations shall be outside the city-wide area.

Regional disruption

If a regional disruption occurs that affects our main office, we will relocate to the nearest reasonably available, suitable office location, and/or allow staff to work from home and utilize personal means of communication (telephone, email).

Arq has also contracted with various entities to insure that sensitive information is made redundant at back-up facilities. However, due to the nature of such information we do not disclose the specific location of any back-up facilities, any proprietary information contained in our Business Continuity Plan or the parties with whom we have back-up arrangements.

Please call us if you should have any questions at (908) 608-8831. Thank you.
Arq Advisors LLC