Last Updated: December 12, 2025

This Wealth Advisor Survey Agreement (this “Agreement”) sets out the terms that apply to your participation in any wealth advisor or registered investment adviser survey (the “Survey”) conducted by Plant-A Insights Group LLC (“Plant-A,” “we,” “us,” or “our”).

By accessing, starting, or submitting the Survey, including by clicking an “I Agree,” “I Accept,” “Submit Survey,” or similar button, you confirm that you have read and understand this Agreement and that you agree to be bound by it on behalf of yourself and, where applicable, the advisory firm you represent (the “Firm”). If you do not agree, you must not participate in the Survey.

1. Relationship to Privacy Policy and Website Terms

1.1 Privacy Policy. Plant-A’s collection, use, and disclosure of personal data in connection with the Survey is governed by Plant-A’s Privacy Policy, available at https://plant-a.com/privacy-policy/ (the “Privacy Policy”). The Privacy Policy is incorporated into this Agreement by reference.

1.2 Website Terms of Use. Your use of Plant-A’s websites, digital services, and related content is also governed by Plant-A’s Terms of Use, available at https://plant-a.com/terms-of-use/ (the “Terms of Use”). To the extent there is any conflict between this Agreement, the Privacy Policy, and/or the Terms of Use regarding this Survey, this Agreement will control and, to the extent there is any conflict between this Agreement and the Privacy Policy regarding personal data, the Privacy Policy will control.

2. Definitions

For purposes of this Agreement:

2.1 “Survey” means any questionnaire, form, or data collection instrument provided by Plant-A for the purpose of gathering information about wealth advisors, registered investment advisers, and related advisory practices, including any peer review components.

2.2 “Participant,” “you,” or “your” means the individual advisor completing the Survey and, if that individual is acting on behalf of a Firm, also includes that Firm.

2.3 “Submissions” means any information or materials you provide or that are submitted on your behalf in connection with the Survey, including your responses, comments, ratings, rankings, peer reviews, mission statements, and any other text, numbers, or content you submit. Submissions do not include basic registration information, such as name, business email, and business phone number, which are treated as business contact information under the Privacy Policy.

2.4 “Public Data” means information about you or your Firm that is publicly available, including information contained in your Firm’s public filings with the U.S. Securities and Exchange Commission and other regulators, as well as information available through public business directories and similar sources.

2.5 “Third-Party Data” means information about you or your Firm provided by reputable third-party data providers, including vendors that aggregate industry data, Firm profiles, and business contact information.

3. Eligibility and Authority

3.1 Eligibility. By participating in the Survey, you represent that you are a registered investment adviser, a representative of a registered investment adviser, or another professional invited by Plant-A or your Firm’s leadership to participate.

3.2 Authority on behalf of Firm. If you participate in the Survey on behalf of a Firm, you represent and warrant that you are an owner, officer, or other authorized representative of the Firm and that you have authority to provide Submissions and to bind the Firm to this Agreement.

3.3 Accuracy. You represent and warrant that all Submissions you provide are, to the best of your knowledge, accurate, complete, and not misleading as of the date you submit them, and that you will promptly notify Plant-A if you become aware of a material error in your Submissions.

4. Information Collected and Data Sources

4.1 Information you provide. In connection with the Survey, Plant-A may collect and process Submissions that include:

(a) Business contact information for you, such as your name, title, Firm name, business email address, and business phone number.
(b) Firm-level information, including assets under management, asset mix, client mix, practice details, service offerings, compensation and fee structures, team composition, retention rates, and growth metrics.
(c) Demographic and experience information about you, such as your years of experience and professional credentials.
(d) Qualitative information, such as your description of your practice, mission statement, service philosophy, and descriptions of your client service model.
(e) Peer review information, such as your ratings of advisors within and outside your Firm and related comments.

4.2 Use of SEC Registration ID and similar identifiers. The Survey may request your SEC Registration ID (for example, CRD) or other identifiers to retrieve Public Data about you and your Firm from the SEC’s Investment Adviser Public Disclosure databases or similar public resources. By providing such identifiers, you authorize Plant-A to retrieve, process, and store Public Data and to combine that Public Data with your Submissions.

4.3 Public Data and Third-Party Data. In addition to the information you provide directly, Plant-A may obtain and process Public Data and Third-Party Data about you and your Firm. Plant-A may pre-populate certain Survey fields using Public Data or Third-Party Data so that you can confirm or correct the information. You are responsible for reviewing and updating any pre-populated fields before submitting the Survey.

4.4 No affiliation with regulators. Plant-A is not affiliated with the U.S. Securities and Exchange Commission or any other regulator. References to SEC or other regulatory data are for identification and validation purposes only and do not imply any endorsement by those agencies.

5. No Confidentiality and No Client Identifying Information

5.1 No expectation of confidentiality in Submissions. You acknowledge and agree that Submissions are provided to Plant-A without any expectation of confidentiality. Plant-A does not agree to treat Submissions as confidential or proprietary information. Do not disclose to Plant-A any information that you consider confidential, except as required or clearly appropriate to complete the Survey.

5.2 No client identifying information. The Survey is not intended to collect personally identifiable information about your clients or other individual investors. You agree that you will not include in any Submission client names, addresses, account numbers, Social Security numbers, dates of birth, or any other information that directly identifies a client or that would reasonably allow a client to be identified.

5.3 If client information is provided. If you nonetheless choose to provide any client or other third party personal data:

(a) You represent and warrant that you have all rights and consents necessary to disclose such information to Plant-A and that such disclosure does not violate any law, regulation, or contract.

(b) You acknowledge that Plant-A will handle such information in accordance with the Privacy Policy and this Agreement, but that Plant-A did not request such information and may delete, anonymize, or otherwise limit its use in Plant-A’s discretion.

6. Use of Submissions, Public Data, and Third-Party Data

6.1 Use for rankings, research, and analytics. Plant-A may use Submissions, together with Public Data and Third-Party Data, for purposes that include:

(a) Designing, operating, and improving rankings, lists, and recognition programs relating to wealth advisors and advisory firms.
(b)        Evaluating candidates for inclusion in rankings, awards, and related recognition.
(c) Analyzing trends in the wealth advisory industry and generating research and analytics products.
(d) Validating, maintaining, and enhancing Plant-A’s internal databases of advisors and advisory firms.
(e) Producing articles, reports, case studies, and similar content for Plant-A and its media or business partners.
(f) Contacting you regarding the Survey, rankings, recognition opportunities, and related initiatives, subject to your communication preferences and applicable law.

6.2 Aggregation and de-identification. Plant-A may aggregate Submissions and related data across participants and may de-identify data so that it no longer identifies an individual advisor. Plant-A may use, share, and publish aggregated or de-identified data in its discretion.

6.3 Firm-level publication. Plant-A may identify your Firm by name in rankings, lists, research outputs, and related content where appropriate and may describe your Firm’s characteristics, performance, or practice profile in a manner consistent with the purposes described in this Agreement and the Privacy Policy.

7. Intellectual Property and License in Submissions

7.1 Ownership. Plant-A and its licensors own all right, title, and interest in and to the Survey, Survey questions, methodologies, rankings, scoring models, reports, and related intellectual property, subject only to the limited rights expressly granted to you in the Terms of Use. You do not acquire any ownership interest in the Survey or in any Plant-A intellectual property by participating.

7.2 License to Plant-A. You grant to Plant-A a worldwide, perpetual, irrevocable, nonexclusive, royalty-free, sublicensable, and transferable license to use, reproduce, modify, adapt, translate, distribute, publicly perform, publicly display, and create derivative works from your Submissions, in whole or in part, alone or in combination with other materials, in any format or medium now known or later developed, for purposes consistent with this Agreement, the Privacy Policy, and applicable law, including the purposes described in Section 6.

7.3 No compensation or obligation. You will not receive compensation for Submissions, and Plant-A has no obligation to use any Submission or to include you or your Firm in any ranking, list, or recognition.

8. Peer Reviews and Advisor Ratings

8.1 Nature of peer reviews. The Survey may request that you rate or review other advisors, including those within and outside your Firm. Any such peer reviews and ratings are your subjective opinions based on your own experience.

8.2 Your responsibilities for peer reviews. With respect to any peer review Submission, you represent and warrant that:

(a) Your statements are based on your personal knowledge and professional experience.

(b) Your statements are honest opinions, are not false or misleading, and are not made with malice.
(c) Your statements do not defame, disparage, or unlawfully harm the reputation of any individual or Firm.
(d) Your statements do not violate any duty of confidentiality or any contractual or legal restriction.

8.3 Plant-A’s role. You acknowledge that Plant-A may use peer review data as one input into its rankings, lists, and research. Plant-A does not adopt your peer review statements as its own opinions and is not obligated to verify each peer review independently. Plant-A may review, filter, or remove peer review Submissions that Plant-A believes may be abusive, misleading, or otherwise inappropriate.

8.4 Indemnity for peer reviews. To the maximum extent permitted by law, you agree to indemnify, defend, and hold harmless Plant-A and its affiliates, and their respective officers, directors, employees, and agents, from and against any losses, liabilities, claims, demands, damages, costs, and expenses, including reasonable attorneys’ fees, arising out of or relating to any third party claim that your peer review Submissions are defamatory, misleading, or otherwise unlawful.

9. No Investment, Legal, or Tax Advice

9.1 Informational purposes only. The Survey, and any rankings, lists, articles, case studies, or other materials that may result from the Survey, are for informational and research purposes only. Nothing in the Survey or in any resulting materials is intended to constitute investment advice, legal advice, tax advice, or a recommendation, endorsement, or solicitation regarding any security, Firm, advisor, strategy, product, or service. You and your Firm remain solely responsible for your own regulatory compliance and for all investment and advisory decisions.

10. Disclaimers and Limitation of Liability

10.1 Disclaimers. To the maximum extent permitted by applicable law:

(a) The Survey and any resulting rankings, lists, reports, and other outputs are provided on an “as is” and “as available” basis.
(b) Plant-A disclaims all warranties of any kind, whether express, implied, or statutory, including any implied warranties of accuracy, non-infringement, merchantability, and fitness for a particular purpose.

(c) Plant-A does not warrant that any ranking, list, or other output will be error-free, complete, or suitable for any particular purpose, and does not guarantee any outcome or business benefit to you or your Firm.

10.2 Limitation of liability. To the maximum extent permitted by applicable law:

(a) Plant-A will not be liable for any indirect, incidental, consequential, special, punitive, or exemplary damages, or for any loss of profits, revenue, goodwill, or business opportunities, arising out of or relating to the Survey, your Submissions, or any resulting outputs, even if Plant-A has been advised of the possibility of such damages.

10.3 Jurisdictional limitations. Some jurisdictions do not allow the exclusion of certain warranties or the limitation of certain damages. In those jurisdictions, the exclusions and limitations in this Section 10 will apply only to the extent permitted by law.

11. Governing Law and Dispute Resolution

11.1 Governing law. This Agreement is governed by the laws of the State of Delaware, without regard to its conflict-of-laws principles.

11.2 Forum. Any dispute, claim, or controversy arising out of or relating to the Survey or this Agreement will be brought exclusively in the state or federal courts located in New York County, New York, and you and your Firm consent to the personal jurisdiction of those courts and waive any objection to venue in those courts.

12. Modifications

12.1 Changes to Agreement. Plant-A may update or modify this Agreement from time to time. Your continued participation in any Survey after the effective date of a revised Agreement constitutes your acceptance of the revised Agreement.

13. Entire Agreement and Miscellaneous

13.1 Entire agreement. This Agreement, together with the Privacy Policy and Terms of Use, constitutes the entire agreement between you and Plant-A with respect to the Survey and supersedes all prior or contemporaneous understandings relating to the Survey.

13.2 Severability. If any provision of this Agreement is held to be invalid, illegal, or unenforceable, that provision will be enforced to the maximum extent permissible and the remaining provisions will remain in full force and effect.

13.3 No waiver. No waiver by Plant-A of any term or condition set out in this Agreement will be deemed a further or continuing waiver of such term or a waiver of any other term, and any failure of Plant-A to assert a right or provision under this Agreement will not constitute a waiver of such right or provision.

13.4 Assignment. You may not assign or transfer this Agreement or any rights or obligations under this Agreement without Plant-A’s prior written consent. Plant-A may assign this Agreement without your consent.

13.5 Contact. If you have questions about this Agreement or the Survey, you may contact Plant-A at privacy@plant-a.com or at the address listed in the Privacy Policy.