RESOURCE FINANCIAL GROUP, LTD.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	Illinois, United States

Employees

Total Number of Employees	8
Investment Advisory/Research	2
Registered Broker-Dealer Representatives	1
Registered State Investment Advisers	2
Licensed Agents of an Insurance Company	1
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	571	$329.6M
Non-Discretionary	257	$134.5M
Total	828	$464.1M

Clients

Type	Number	RAUM
Individuals	8	$7.0M
HNW Individuals	202	$442.6M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	10	$14.5M
Charitable organizations	0	$0
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	2
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	101-250

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businesses
Compensation	% of AUMHourly chargesFixed feesCommissions
Other Business Activities	Registered representative of a broker-dealerInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	464.1M
Both for Same	0

Portfolio Manager to Program	Sponsor
WEALTH MANAGEMENT PLATFORM	SECURITIES AMERICA ADVISORS, INC.

Identifiers

SEC RIA File Number	801-66619
SEC ERA File Number	801-66619
SEC CIK Numbers	None
SEC CRD Numbers	119833
Legal Entity Identifier	None

Principal Office

1000 SKOKIE BLVD.
SUITE 525
WILMETTE
IL
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic