MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER

MA/A 0001669517 XXXXXXXX CHERYL MADDOX 215-567-6100 MADDOXC@PFM.COM wellsg@pfm.com PFM FINANCIAL ADVISORS LLC 81-1642787 867-02030 1735 MARKET STREET 42nd FLOOR PHILADELPHIA PA 19103 215-567-6100 215-567-4180 Add 100 MARKET STREET SUITE 100 HARRISBURG PA 17101 717-232-2723 717-233-6073 Add 555 BRIARWOOD CIRCLE SUITE 333 ANN ARBOR MI 48108 734-994-9700 7347-994-9710 Add 50 South 6th Street Suite 2250 MINNEAPOLIS MN 55402 612-338-3535 612-338-7264 Add 4350 NORTH FAIRFAX DRIVE SUITE 590 ARLINGTON VA 22203 703-741-0175 703-516-0283 Add 200 S. ORANGE AVENUE 7TH FLOOR, SUITE 760 ORLANDO FL 32801 407-648-2208 407-648-1323 N www.pfm.com CHERYL DENISE MADDOX MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER

1735 MARKET STREET 42nd FLOOR PHILADELPHIA PA 19103

215-567-6100 215-567-4180 maddoxc@pfm.com DANIEL JAY HARTMAN MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER

1735 MARKET STREET 42ND FLOOR PHILADELPHIA PA 19103

215-567-6100 215-567-4180 hartmand@pfm.com Add PFM FINANCIAL ADVISORS LLC 100 MARKET STREET SUITE 100 HARRISBURG PA 17101 717-232-2723 717-233-6073 In accordance with MSRB Rules G-8 and G-9, books are records are inclusive of, but not limited to customer account information, written communications, client contracts, and information concerning customer complaints. Add PFM FINANCIAL ADVISORS LLC 555 BRIARWOOD CIRCLE SUITE 333 ANN ARBOR MI 48108 734-994-9700 734-994-9710 In accordance with MSRB Rules G-8 and G-9, books are records are inclusive of, but not limited to customer account information, written communications, client contracts, and information concerning customer complaints. Add PFM FINANCIAL ADVISORS LLC 50 South 6th Street Suite 2250 MINNEAPOLIS MN 55402 612-338-3535 612-338-7264 In accordance with MSRB Rules G-8 and G-9, books are records are inclusive of, but not limited to customer account information, written communications, client contracts, and information concerning customer complaints. Add PFM FINANCIAL ADVISORS LLC 4350 NORTH FAIRFAX DRIVE SUITE 590 ARLINGTON VA 22203 703-741-0175 703-516-0283 In accordance with MSRB Rules G-8 and G-9, books are records are inclusive of, but not limited to customer account information, written communications, client contracts, and information concerning customer complaints. Add PFM FINANCIAL ADVISORS LLC 200 S. ORANGE AVENUE 7TH FLOOR, SUITE 760 ORLANDO FL 32801 407-648-2208 407-648-1323 In accordance with MSRB Rules G-8 and G-9, books are records are inclusive of, but not limited to customer account information, written communications, client contracts, and information concerning customer complaints. PFM SWAP ADVISORS LLC Y COMMODITIES FUTURES TRADING COMMISSION/NATIONAL FUTURES ASSOCIATION (NFA); MUNICIPAL SECURITIES RULEMAKING BOARD/SECURITY EXCHANGE COMMISSION (SEC) CTFC/NFA - 0474395; MSRB/SEC - 867-001139 PFM SOLUTIONS LLC N PFM GROUP CONSULTING LLC N MUNITE LLC N PFM CALIFORNIA ADVISORS LLC Y MUNICIPAL SECURITIES RULEMAKING BOARD/SECURITIES EXCHANGE COMMISSION MSRB: K1277 / SEC: 867-02535 December PA 01-15-2016 N 166 166 0 0 0 2167 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Fixed Fees Contingent Fees Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice Use Of MD Solicitation Of IAB Solicitation Other Advice On Selection Other FINANCIAL PLANNING N Commodity trading advisor Other municipal advisor 2 Add Commodity trading advisor Other municipal advisor PFM SWAP ADVISORS LLC PFM SWAP ADVISORS LLC N Y N Add Other municipal advisor PFM CALIFORNIA ADVISORS LLC PFM CALIFORNIA ADVISORS LLC N Y N N N N N N N Y Y N N Y N N Y PFM I - No individual holds more than 10% ownership. N N N N N Y N Y Y N N N N N N N N N N N N N N N N Y PFM FA HOLDINGS, LLC N 26-4770449 MEMBER 12-06-2021 E Y CHERYL D MADDOX SECRETARY 05-16-2018 NA Y 000000000 DANIEL JAY HARTMAN CHIEF EXECUTIVE OFFICER 01-01-2020 NA Y 000000000 CHERYL DENISE MADDOX CHIEF COMPLIANCE OFFICER 10-08-2021 NA Y 000000000 JOANNE NMN CARTER PRESIDENT 12-07-2021 NA Y 000000000 PFM FA HOLDINGS, LLC PFM II, LLC N 37-2014893 MEMBER 12-06-2021 E Y PFM FA HOLDINGS, LLC N 26-4770449 MEMBER 12-06-2021 E Y CHERYL D MADDOX SECRETARY 05-16-2018 NA Y 000000000 DANIEL JAY HARTMAN CHIEF EXECUTIVE OFFICER 01-01-2020 NA Y 000000000 CHERYL DENISE MADDOX CHIEF COMPLIANCE OFFICER 10-08-2021 NA Y 000000000 JOANNE NMN CARTER PRESIDENT 12-07-2021 NA Y 000000000 PFM FA HOLDINGS, LLC PFM II, LLC N 37-2014893 MEMBER 12-06-2021 E Y 9-C2 9-C4 9-C5 In the Matter of PFM Financial Advisors LLC Administrative Proceeding File No. 3-22121 / Securities Exchange Act of 1934 Release No. 101041 100 F Street NE Washington Washington DC 20549 According to the SEC Order, from at least July 2020 to January 2024, a number of PFMFA employees sent and received off-channel communications in the form of text messages relating to municipal advisory activities. Text messages were not authorized by firm policy. Thus the SEC found that PFMFA violated certain recordkeeping requirements. To settle this civil administrative matter, PFMFA agreed, among other things, to pay a fine of $250,000 and to certain undertakings involving written procedures and employee training. 09-17-2024 Cease and Desist Censure CivilAdminPenaltyFine Undertaking No Product Violations of recordkeeping and supervision requirements in connection with unauthorized use of text messaging by certain employees to conduct municipal advisory activities. 09-17-2024 Settled N Y Cease and Desist Censure CivilAdminPenaltyFine Undertaking 250000.00 250000.00 09-17-2024 250000.00 DANIEL HARTMAN DANIEL HARTMAN CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR 09-17-2024 N N N N N N N Y N N Y N Y N N N N N Y N N