ADV: Wrap Fee Program Brochure March 2020 - 6 Meridian

Item 1: Cover Page Part 2A Appendix 1 of Form ADV: Wrap Fee Program Brochure

March 2020

6 Meridian Wrap Program

Sponsored by:

8301 E 21st St. North, Suite 150 Wichita, KS 67206

www.6meridian.com

(855) 334-2110

Firm Contact: Denice Robinson

Chief Compliance Officer This brochure provides information about the qualifications and business practices of 6 Meridian. If clients have any questions about the contents of this brochure, please contact us at us at (855) 334-2110 or [email protected]. The information in this brochure has not been approved or verified by the United States Securities and Exchange Commission or by any State Securities Authority. Additional information about our firm is also available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD #283845. Please note that the use of the term “registered investment adviser” and description of our firm and/or our associates as “registered” does not imply a certain level of skill or training. Clients are encouraged to review this Brochure and Brochure Supplements for our firm’s associates who advise clients for more information on the qualifications of our firm and our employees.

ADV Part 2A, Appendix 1 – Wrap Fee Brochure 6 Meridian

Item 2: Material Changes In this Item, 6 Meridian is required to discuss any material changes that have been made to the brochure since the last annual amendment. Since our last annual amendment filed on March 11, 2019, we have the following material changes to disclose:

• Our firm expects to be begin acting as a sub-advisor for exchanged traded funds in conjunction with Exchange Traded Concepts, LLC (“ETC”) in June 2020. We will receive a portion of ETC’s management fee for our services. When appropriate, we may recommend that clients invest a portion of their assets in ETC’s exchanged traded funds. This presents a conflict of interest because our firm has a financial incentive to recommend ETC’s exchange traded funds. In order to mitigate this potential conflict of interest, we will reduce the wealth management fee for participating clients by an amount equal to the lessor of: 1) the amount of compensation our firm receives as the sub-advisor for those assets (0.49% per annum); or 2) the amount of wealth management fees that would have been billed for those assets.

• In certain cases, our firm will agree to a charge a flat consulting fee of $10,000 per month.

• We moved to a new office located at 8301 E 21st St. North, Suite 150, Wichita, KS 67206 in July 2019.


Item 3: Table of Contents Item 1: Cover Page .................................................................................................................................................................. 1 Item 2: Material Changes ...................................................................................................................................................... 2 Item 3: Table of Contents ..................................................................................................................................................... 3 Item 4: Services, Fees & Compensation .......................................................................................................................... 4 Item 5: Account Requirements & Types of Clients .................................................................................................... 9 Item 6: Portfolio Manager Selection & Evaluation ..................................................................................................... 9 Item 7: Client Information Provided to Portfolio Manager(s) ............................................................................ 13 Item 8: Client Contact with Portfolio Manager(s) .................................................................................................... 13 Item 9: Additional Information ........................................................................................................................................ 13


Item 4: Services, Fees & Compensation The 6 Meridian Wrap Program (the “Program”) is an investment advisory program sponsored by 6 Meridian. In addition to the Program, the Firm offers a variety of advisory services, which include financial planning, consulting, and investment management services under different arrangements than those described herein. Prior to 6 Meridian rendering any of the foregoing advisory services, clients are required to enter into one or more written agreements with 6 Meridian setting forth the relevant terms and conditions of the advisory relationship (the “Advisory Agreement”). 6 Meridian first filed for registration as an investment adviser in July 2016 and is wholly owned by Margaret A. Dechant, Andrew J. Mies, Pamela A. Smith, Sarah J. Hampton, Bryan S. Green and Thomas H. Kirk III. As of December 31st, 2019, 6 Meridian had $1,798,013,861 assets under management; $1,405,270,674 of which was managed on a discretionary basis and $392,743,187 of which was managed on a non-discretionary basis. In addition, 6 Meridian maintained $1,168,133,482 in assets under advisement as of December 31st, 2019. While this brochure generally describes the business of 6 Meridian, certain sections also discuss the activities of its Supervised Persons, which refer to the Firm’s officers, partners, directors (or other persons occupying a similar status or performing similar functions), employees or any other person who provides investment advice on 6 Meridian’ behalf and is subject to the Firm’s supervision or control. Description of the Program

The Program is offered as a wrap fee program, which provides clients with the ability to trade in certain investment products without incurring separate brokerage commissions or transaction charges. A wrap fee program is considered any arrangement under which clients receive investment advisory services (which may include portfolio management or advice concerning the selection of other investment advisers) and the execution of client transactions for a specified fee or fees not based upon transactions in their accounts. Clients must also open a new securities advisory account and complete a new account agreement with Pershing Advisor Solutions (“Pershing”) or another broker-dealer that 6 Meridian approves under the Program (collectively “Financial Institutions”). At the onset of the Program, clients complete an investor profile describing their individual investment objectives, liquidity and cash flow needs, time horizon and risk tolerance, as well as any other factors pertinent to their specific financial situations. After an analysis of the relevant information, 6 Meridian assists its clients in developing an appropriate strategy for managing their assets. Clients’ investment portfolios are generally managed on a discretionary or non-discretionary basis by 6 Meridian’s Principal(s) and investment adviser representatives as well as independent investment manager (collectively “Independent Managers”), as recommended or selected by 6 Meridian. 6 Meridian and/or the Independent Managers generally allocate clients’ assets among the various investment products available under the Program, as described further in Item 6 (below). Investment and Wealth Management Services

6 Meridian provides clients with wealth management services which include a broad range of comprehensive financial planning and consulting services as well as discretionary and/or non-discretionary management of investment portfolios.


6 Meridian primarily allocates client assets among various mutual funds, closed-end funds, exchange-traded funds (“ETFs”), individual debt and equity securities, options and independent investment managers (“Independent Managers”), liquid and illiquid alternative investments, private placements, and structured notes in accordance with their stated investment objectives. Where appropriate, the Firm may also provide advice about any type of legacy position or other investment held in client portfolios. Clients may engage 6 Meridian to manage and/or advise on certain investment products that are not maintained at their primary custodian, such as variable life insurance and annuity contracts and assets held in employer sponsored retirement plans and qualified tuition plans (i.e., 529 plans). In these situations, 6 Meridian directs or recommends the allocation of client assets among the various investment options available with the product. These assets are generally maintained at the underwriting insurance company or the custodian designated by the product’s provider. 6 Meridian tailors its advisory services to meet the needs of its individual clients and seeks to ensure, on a continuous basis, that client portfolios are managed in a manner consistent with those needs and objectives. 6 Meridian consults with clients on an initial and ongoing basis to assess their specific risk tolerance, time horizon, liquidity constraints and other related factors relevant to the management of their portfolios. Clients are advised to promptly notify 6 Meridian if there are changes in their financial situation or if they wish to place any limitations on the management of their portfolios. Clients may impose reasonable restrictions or mandates on the management of their accounts if 6 Meridian determines, in its sole discretion, the conditions would not materially impact the performance of a management strategy or prove overly burdensome to the Firm’s management efforts. The financial planning and consulting services may include any or all of the following functions:

• Business Planning • Cash Flow Forecasting • Trust and Estate Planning

• Financial Reporting • Retirement Planning • Education Planning

In performing these financial planning and consulting services, 6 Meridian is not required to verify any information received from the client or from the client’s other professionals (e.g., attorneys, accountants, etc.,) and is expressly authorized to rely on such information. 6 Meridian may recommend clients engage the Firm for additional related services, its Supervised Persons in their individual capacities as insurance agents or registered representatives of a broker-dealer and/or other professionals to implement its recommendations. Clients are advised that a conflict of interest exists if clients engage 6 Meridian or its affiliates to provide additional services for compensation. Clients retain absolute discretion over all decisions regarding implementation and are under no obligation to act upon any of the recommendations made by 6 Meridian under a financial planning or consulting engagement. Clients are advised that it remains their responsibility to promptly notify the Firm of any change in their financial situation or investment objectives for the purpose of reviewing, evaluating or revising 6 Meridian’ recommendations and/or services. Use of Independent Managers

As mentioned above, 6 Meridian may select certain Independent Managers to actively manage a portion of its clients’ assets. The specific terms and conditions under which a client engages an Independent Manager may be set forth in a separate written agreement with the designated


Independent Manager. In addition to this brochure, clients may also receive the written disclosure documents of the respective Independent Managers engaged to manage their assets. The Independent Manager’s fees may be separate, and in addition, to 6 Meridian’s fees. 6 Meridian evaluates a variety of information about Independent Managers, which may include the Independent Managers’ public disclosure documents, materials supplied by the Independent Managers themselves and other third-party analyses it believes are reputable. To the extent possible, the Firm seeks to assess the Independent Managers’ investment strategies, past performance and risk results in relation to its clients’ individual portfolio allocations and risk exposure. 6 Meridian also takes into consideration each Independent Manager’s management style, returns, reputation, financial strength, reporting, pricing and research capabilities, among other factors. 6 Meridian continues to provide services relative to the discretionary or non-discretionary selection of the Independent Managers. On an ongoing basis, the Firm monitors the performance of those accounts being managed by Independent Managers. 6 Meridian seeks to ensure the Independent Managers’ strategies and target allocations remain aligned with its clients’ investment objectives and overall best interests. Fees for Participation in the Program

The Program is offered on a fee basis, meaning participants pay a single annualized fee based upon assets under management (“Program Fee”). Additionally, certain of the Firm’s Supervised Persons, in their individual capacities, may offer securities brokerage services and/or insurance products under a separate commission-based arrangement. 6 Meridian’s wealth management fee will vary depending upon the assets under management and services provided. Annual fees for clients will be subject to the following tiered fee schedule:

Assets Under Management Annual Percentage of Assets Charge $0 to $2,500,000 1.00%

$2,500,000 to $7,500,000 0.75% Over $7,500,000 0.50%

The annual fee is prorated and charged monthly, in arrears, based upon the average daily account balance for the month. Since the asset-based fee is determined by average daily account balance, if assets are deposited into or withdrawn from an account after the inception of a month, the base fee payable with respect to such assets is adjusted accordingly. In certain cases, 6 Meridian will agree to charge a monthly flat fee of $10,000 per month. If an advisory agreement is terminated, the fee for the final billing period is prorated through the effective date of the termination and the outstanding or unearned portion of the fee is charged or refunded to the client, as appropriate. Additionally, for asset management services the Firm provides with respect to certain client holdings (e.g., held-away assets, accommodation accounts, alternative investments, etc.), 6 Meridian may charge no fee or may negotiate a fee rate that differs from the range set forth above. Fee Comparison

As referenced above, a portion of the fees paid to 6 Meridian are used to cover the securities brokerage commissions and transactional costs attributed to the management of its clients’ portfolios. For certain legacy clients of the Firm’s Supervised Persons, the fees charged by the


Independent Managers engaged to provide services under the Program will also be included. Typically, however, the Independent Managers fees are in addition to the Firm’s fees. Services provided through the Program may cost clients more or less than purchasing these services separately. The number of transactions made in clients’ accounts, as well as the commissions charged for each transaction, determines the relative cost of the Program versus paying for execution on a per transaction basis and paying a separate fee for advisory services. Fees paid for the Program may also be higher or lower than fees charged by other sponsors of comparable investment advisory programs. Because the Firm pays for the brokerage fees and Independent Managers’ fees, the Firm has an incentive to engage in less transactions, or transactions that cost less to the Firm. Fee Discretion

6 Meridian, in its sole discretion, may negotiate to charge a lesser fee based upon certain criteria, such as anticipated future earning capacity, anticipated future additional assets, dollar amount of assets to be managed, related accounts, account composition, client holdings, pre-existing/legacy client relationship, account retention and pro bono activities. Other Charges

In addition to the advisory fees paid to 6 Meridian, clients may also incur certain charges imposed by other third parties, such as broker-dealers, custodians, trust companies, banks and other financial institutions. These additional charges may include fees charged by the Independent Managers (charged separately to all clients other than certain legacy clients whose agreements will reflect the inclusion of these fees), fees attributable to alternative assets, reporting charges, margin costs, charges imposed directly by a mutual fund or ETF in a client’s account, as disclosed in the fund’s prospectus (e.g., fund Program Fees and other fund expenses), fees and commission for assets not held with Pershing (such as 401(k) or 529 plan assets), deferred sales charges, odd-lot differentials, transfer taxes, wire transfer and electronic fund fees. Clients may also have accounts at Pershing or another broker-dealer to hold assets that are not being managed by the Firm. These accounts exist to hold assets including cash, treasuries and legacy securities positions not managed by 6 Meridian or the Independent Managers. 6 Meridian does not charge the Program Fee for these assets, but the client will be responsible for any transaction charges or other charges at Pershing or elsewhere. Direct Fee Debit

Clients generally provide 6 Meridian and/or certain Independent Managers with the authority to directly debit their accounts for payment of the investment advisory fees. The Financial Institutions that act as the qualified custodian for client accounts, from which the Firm retains the authority to directly deduct fees, have agreed to send statements to clients not less than quarterly detailing all account transactions, including any amounts paid to 6 Meridian. Alternatively, clients may elect to have 6 Meridian send a separate invoice for direct payment. Account Additions and Withdrawals

Clients may make additions to and withdrawals from their account at any time, subject to 6 Meridian’s right to terminate an account. Additions may be in cash or securities provided that the


Firm reserves the right to liquidate any transferred securities or decline to accept particular securities into a client’s account. Clients may withdraw account assets on notice to 6 Meridian, subject to the usual and customary securities settlement procedures. However, 6 Meridian designs its portfolios as long-term investments and the withdrawal of assets may impair the achievement of a client’s investment objectives. 6 Meridian may consult with its clients about the options and implications of transferring securities. Clients are advised that when transferred securities are liquidated, they may be subject to transaction fees, fees assessed at the mutual fund level (e.g., contingent deferred sales charge) and/or tax ramifications. Use of Margin

6 Meridian may be authorized to use margin in the management of the client’s investment portfolio. In these cases the fee payable will be assessed net of margin such that the market value of the client’s account and corresponding fee payable by the client to 6 Meridian will not be increased. Commissions and Sales Charges for Recommendations of Securities

Clients can engage certain persons associated with 6 Meridian (but not the Firm directly) to render securities brokerage services under a separate commission-based arrangement. Clients are under no obligation to engage such persons and may choose brokers or agents not affiliated with 6 Meridian. Under this arrangement, the Firm’s Supervised Persons, in their individual capacities as registered representatives of Private Client Services, LLC (“PCS”), may provide securities brokerage services and implement securities transactions under a separate commission based arrangement. Supervised Persons may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (trail) fees from the sale of mutual funds. 6 Meridian may also recommend no-load or load-waived funds, where no sales charges are assessed. Prior to effecting any transactions, clients are required to enter into a separate account agreement with PCS. A conflict of interest exists to the extent that 6 Meridian recommends the purchase or sale of securities where its Supervised Persons receive commissions or other additional compensation as a result of the Firm’s recommendation. The Firm has procedures in place to ensure that any recommendations made by such Supervised Persons are in the best interest of clients. For certain accounts covered by the Employee Retirement Income Security Act of 1974 (“ERISA”) and such others that 6 Meridian, in its sole discretion, deems appropriate, 6 Meridian may provide its investment advisory services on a fee-offset basis. In this scenario, 6 Meridian may offset its fees by an amount equal to the aggregate commissions and 12b-1 fees earned by the Firm’s Supervised Persons in their individual capacities as registered representatives of PCS. Compensation for Recommending the Program

6 Meridian has no internal arrangements in place whereby persons recommending the Program are entitled to receive additional compensation as a result of clients’ participation. A person recommending the Program will not earn more compensation than he or she would otherwise receive if a client elected another investment management program.


Item 5: Account Requirements & Types of Clients 6 Meridian offers services to individuals, pension and profit sharing plans, trusts, estates, charitable organizations, corporations and business entities. Minimum Account Fee

6 Meridian does not impose requirements for opening and maintaining accounts.

Item 6: Portfolio Manager Selection & Evaluation Clients’ investment portfolios are generally managed directly by 6 Meridian. 6 Meridian may also utilize the discretionary investment of certain Independent Managers, as referenced above. Where 6 Meridian provides services outside of the Program, there is no difference in how assets are managed other than those non-wrap clients paying transaction fees separately. Side-By-Side Management

6 Meridian does not provide any services for a performance-based fee (i.e., a fee based on a share of capital gains or capital appreciation of a client’s assets). The Firm may, however, have other accounts managed outside of the Program where clients pay directly for transaction charges. Portfolio Management Services

6 Meridian considers a client’s goals and risk tolerance before reaching a mutual decision with the client on how best to build an investment portfolio. 6 Meridian follows a rigorous and detailed planning process to create a diversified portfolio aimed at meeting client objectives. Upon completion of the analysis 6 Meridian and the client will review the different investment options that are available to meet the objectives. These investment options may include a combination of (i) portfolios that are managed internally by 6 Meridian, (ii) portfolios that are actively managed by outside managers via ETFs, mutual funds, closed-end funds, investment partnerships and/or SMA’s and (iii) passive portfolios with investments in ETFs and/or mutual funds. On occasion the Firm’s Supervised Persons may utilize other financial products including annuities and insurance to meet client objectives in their individual capacities as licensed insurance agents. 6 Meridian is focused on delivering attractive risk-adjusted returns for our clients. The Firm seeks to accomplish this through a combination of fundamental and quantitative analysis of countries, asset classes, money managers and issuers. Fundamental analysis involves an evaluation of the financial condition and competitive position of a particular country, asset class, fund or issuer. Quantitative analysis involves analyzing historical performance of issuers based on certain criteria including beta, value, momentum, yield and quality. This screening is designed to build portfolios of securities which possess those positive traits that have historically delivered attractive risk-adjusted returns. 6 Meridian manages a variety of portfolios internally which are comprised of individual equity securities, individual bonds, ETFs, derivatives, illiquid alternatives, closed-end funds and open- end mutual funds. These portfolios are built using the Firm’s in-house fundamental and quantitative research as well as third-party research.


When examining outside managers or mutual funds 6 Meridian looks at historical return and risk performance, the portfolio management team, minimum investment amounts and fees. Risk of Loss

Market Risks Investing involves risk, including the potential loss of principal, and all investors should be guided accordingly. The profitability of a significant portion of 6 Meridian’s recommendations and/or investment decisions may depend to a great extent upon correctly assessing the future course of price movements of stocks, bonds and other asset classes. There can be no assurance that 6 Meridian will be able to predict those price movements accurately or capitalize on any such assumptions. Alternative Investments: Hedge funds, commodity pools, Real Estate Investment Trusts (“REITs”), Business Development Companies (“BDCs”), and other alternative investments involve a high degree of risk and can be illiquid due to restrictions on transfer and lack of a secondary trading market. They can be highly leveraged, speculative and volatile, and an investor could lose all or a substantial amount of an investment. Alternative investments may lack transparency as to share price, valuation and portfolio holdings. Complex tax structures often result in delayed tax reporting. Compared to mutual funds, hedge funds and commodity pools are subject to less regulation and often charge higher fees. Alternative investment managers typically exercise broad investment discretion and may apply similar strategies across multiple investment vehicles, resulting in less diversification. Liquidity Risk Certain assets may not be readily converted into cash or may have a very limited market in which they trade. Thus, you may experience the risk that your investment or assets within your investment may not be able to be liquidated quickly, thus, extending the period of time by which you may receive the proceeds from your investment. Liquidity risk can also result in unfavorable pricing when exiting (i.e. not being able to quickly get out of an investment before the price drops significantly) a particular investment and therefore, can have a negative impact on investment returns. Mutual Funds and ETFs An investment in a mutual fund or ETF involves risk, including the loss of principal. Mutual fund and ETF shareholders are necessarily subject to the risks stemming from the individual issuers of the fund’s underlying portfolio securities. Such shareholders are also liable for taxes on any fund-level capital gains, as mutual funds and ETFs are required by law to distribute capital gains in the event they sell securities for a profit that cannot be offset by a corresponding loss. Shares of mutual funds are generally distributed and redeemed on an ongoing basis by the fund itself or a broker acting on its behalf. The trading price at which a share is transacted is equal to a fund’s stated daily per share net asset value (“NAV”), plus any shareholders fees (e.g., sales loads, purchase fees, redemption fees). The per share NAV of a mutual fund is calculated at the end of each business day, although the actual NAV fluctuates with intraday changes to the market value of the fund’s holdings. The trading prices of a mutual fund’s shares may differ significantly from the NAV during periods of market volatility, which may, among other factors, lead to the mutual fund’s shares trading at a premium or discount to actual NAV.


The Firm may also invest in “closed end” funds. Closed end funds have a fixed number of shares outstanding. There are differing risks with closed end funds which include use of leverage and share prices that trade at a discount from their net asset value. Shares of ETFs are listed on securities exchanges and transacted at negotiated prices in the secondary market. Generally, ETF shares trade at or near their most recent NAV, which is generally calculated at least once daily for indexed based ETFs and potentially more frequently for actively managed ETFs. However, certain inefficiencies may cause the shares to trade at a premium or discount to their pro rata NAV. There is also no guarantee that an active secondary market for such shares will develop or continue to exist. Generally, an ETF only redeems shares when aggregated as creation units (usually 20,000 shares or more). Therefore, if a liquid secondary market ceases to exist for shares of a particular ETF, a shareholder may have no way to dispose of such shares. Risks specific to the funds held by a client will be further discussed in each fund’s prospectus which will be delivered to each investor. Use of Independent Managers As stated above, 6 Meridian may select certain Independent Managers to manage a portion of its clients’ assets. In these situations, 6 Meridian continues to conduct ongoing due diligence of such managers, but such recommendations rely to a great extent on the Independent Managers’ ability to successfully implement their investment strategies. In addition, 6 Meridian generally may not have the ability to supervise the Independent Managers on a day-to-day basis. Options Options allow investors to buy or sell a security at a contracted “strike” price at or within a specific period of time. Clients may pay or collect a premium for buying or selling an option. Investors transact in options to either hedge (i.e., limit) losses in an attempt to reduce risk or to speculate on the performance of the underlying securities. Options transactions contain a number of inherent risks, including the partial or total loss of principal in the event that the value of the underlying security or index does not increase/decrease to the level of the respective strike price. Holders of options contracts are also subject to default by the option writer which may be unwilling or unable to perform its contractual obligations. Real Estate Investment Trusts (REITs) 6 Meridian may recommend an investment in, or allocate assets among, various real estate investment trusts (“REITs”), the shares of which exist in the form of either publicly traded or privately placed securities. REITs are collective investment vehicles with portfolios comprised primarily of real estate and mortgage related holdings. Many REITs hold heavy concentrations of investments tied to commercial and/or residential developments, which inherently subject REIT investors to the risks associated with a downturn in the real estate market. Investments linked to certain regions that experience greater volatility in the local real estate market may give rise to large fluctuations in the value of the vehicle’s shares. Mortgage related holdings may give rise to additional concerns pertaining to interest rates, inflation, liquidity and counterparty risk. Use of Margin While the use of margin borrowing can substantially improve returns, it may also increase overall portfolio risk. Margin transactions are generally effected using capital borrowed from a Financial


Institution, which is secured by a client’s holdings. Under certain circumstances, a lending Financial Institution may demand an increase in the underlying collateral. If the client is unable to provide the additional collateral, the Financial Institution may liquidate account assets to satisfy the client’s outstanding obligations, which could have extremely adverse consequences. In addition, fluctuations in the amount of a client’s borrowings and the corresponding interest rates may have a significant effect on the profitability and stability of a client’s portfolio. Voting of Client Securities

6 Meridian may accept the authority to vote a client’s securities (i.e., proxies) on their behalf. When 6 Meridian accepts such responsibility, it will cast proxy votes only in a manner it believes consistent with the best interest of its clients. At any time clients may contact the Firm to request information about how 6 Meridian voted proxies for that client’s securities. A brief summary of 6 Meridian’s proxy voting policies and procedures is as follows:

• The Firm has engaged ProxyEdge by Broadridge of North America, Inc. (“ProxyEdge”), a third-party, independent proxy advisory firm, to provide it with research, analysis, and recommendations on the various proxy proposals for the client securities that 6 Meridian manages with the aim of maximizing shareholder value. In engaging ProxyEdge for that purpose, 6 Meridian has reviewed ProxyEdge’s Proxy Guidelines and has approved ProxyEdge’s positions on voting positions it recommends for the types of proposals most frequently presented, including: election and composition of directors; financial reporting; compensation of management and directors; corporate governance structure and anti-takeover measures; and environmental and social risks to operations. 6 Meridian is in agreement with the approach ProxyEdge has set forth in its current Proxy Guidelines for voting proxies. Although 6 Meridian, based on its approval of the positions in the Proxy Guidelines, expects to vote proxies according to ProxyEdge’s recommendations, certain issues may need to be considered on a case-by-case basis due to the diverse and continually evolving nature of corporate governance issues. If such cases should arise, then 6 Meridian will devote appropriate time and resources to consider those issues.

• Where 6 Meridian is responsible for voting proxies on behalf of a client, the client cannot

direct the Firm’s vote on a particular solicitation. The client, however, can revoke 6 Meridian’s authority to vote proxies. In situations where there may be a conflict of interest in the voting of proxies due to business or personal relationships that 6 Meridian maintains with persons having an interest in the outcome of certain votes, the Firm will take appropriate steps, whether by following ProxyEdge’s third-party recommendation or otherwise, to ensure that proxy voting decisions are made in what it believes is the best interest of its clients and are not the product of any such conflict.

• ProxyEdge will also file class action information for clients automatically. If a client receives

a settlement for such class action, ProxyEdge will take 20% of the settlement. The Firm does not receive any of this compensation. Clients can opt out of having 6 Meridian engage ProxyEdge for all proxy and class action services. Clients opting out would be responsible for all such activities.


Item 7: Client Information Provided to Portfolio Manager(s) In this Item, 6 Meridian is required to describe the type and frequency of the information it communicates to the Independent Managers, if any, managing its clients’ investment portfolios. Clients participating in the Program generally grant 6 Meridian the authority to discuss certain non-public information with the Independent Managers engaged to manage their accounts. Depending upon the specific arrangement, the Firm may be authorized to disclose various personal information including, without limitation: names, phone numbers, addresses, social security numbers, tax identification numbers and account numbers. 6 Meridian may also share certain information related to its clients’ financial positions and investment objectives in an effort to ensure that the Independent Managers’ investment decisions remain aligned with its clients’ best interests. This information is communicated on an initial and ongoing basis, or as otherwise necessary to the management of its clients’ portfolios.

Item 8: Client Contact with Portfolio Manager(s) In this Item, 6 Meridian is required to describe any restrictions on clients’ ability to contact and consult with the portfolio managers managing their investment portfolios. There are no restrictions on clients’ ability to correspond with 6 Meridian. Clients can generally contact the Independent Managers managing their portfolios through 6 Meridian by providing the Firm with written request and identification of the questions or issues to be discussed with the Independent Managers. After receiving the client’s written request, 6 Meridian, at its sole discretion, may contact the Independent Managers for the client or arrange for the Independent Managers and the client to communicate directly.

Item 9: Additional Information Disciplinary Information

6 Meridian has not been involved in any legal or disciplinary events that are material to a client’s evaluation of its advisory business or the integrity of its management. Other Financial Industry Activities and Affiliations

Sub-Advisor for BlueArc Capital Management, LLC’s Funds 6 Meridian is a sub-advisor of the BlueArc Global Private Credit Opportunity Fund (QC); BlueArc Global Private Credit Opportunity Fund (QC), L.P.; BlueArc Global Private Credit Opportunity Fund (QP); BlueArc Credit Alternatives Fund, LLC; BlueArc Real Estate Investments, LLC; BlueArc Real Estate Income Fund (QC); and BlueArc Real Estate Income Fund (QP) (“Funds”) in conjunction with BlueArc Capital Management, LLC. The management fee charged by BlueArc Capital Management, LLC is in addition to 6 Meridian’s advisory fee and will not exceed 1.25%. 6 Meridian receives a portion of BlueArc Capital Management, LLC’s management fee. This presents a conflict of interest because 6 Meridian has a financial incentive to recommend the Funds. 6 Meridian will only recommend the Funds to accredited investors. An investment in the Funds involves a high degree of risk and should only be considered by sophisticated investors able to assume the risks of loss (including the risk of loss of such investor’s entire investment) and illiquidity inherent with these types of investments. These offerings do not waive 6 Meridian’s fiduciary duty to its clients or infringe upon any clients right to remedy under state or federal laws.


In compliance with SEC Rule 206(4)-2(b)(4)(i), BlueArc Capital Management, LLC sends an audited financial statement, audited by a registered Public Company Accounting Oversight Board (“PCAOB”) accountant, to each Fund investor within 120 days of each Fund’s fiscal year end. Sub-Advisor for Exchange Traded Concepts, LLC’s Exchange Traded Fund 6 Meridian expects to be begin acting as a sub-advisor for an exchanged traded funds in conjunction with Exchange Traded Concepts, LLC (“ETC”) in June 2020. 6 Meridian will receive a portion of ETC’s management fee. When appropriate, 6 Meridian may recommend that clients invest a portion of their assets in ETC’s exchanged traded funds. This presents a conflict of interest because 6 Meridian has a financial incentive to recommend ETC’s exchange traded funds. In order to mitigate this potential conflict of interest, 6 Meridian will reduce the wealth management fee for participating clients by an amount equal to the lessor of: 1) the amount of compensation 6 Meridian receives as the sub-advisor for those assets (0.49% per annum); or 2) the amount of wealth management fees that would have been billed for those assets. Registered Representatives of a Broker/Dealer Certain of the Firm’s Supervised Persons are registered representatives of PCS and may provide clients with securities brokerage services under a separate commission-based arrangement. This arrangement is described at length in Item 5. Licensed Insurance Agents A number of the Firm’s Supervised Persons are licensed insurance agents and may offer certain insurance products on a fully-disclosed commissionable basis. A conflict of interest exists to the extent that 6 Meridian recommends the purchase of insurance products where its Supervised Persons may be entitled to insurance commissions or other additional compensation. The Firm has procedures in place whereby it seeks to ensure that all recommendations are made in its clients’ best interest regardless of any such affiliations. Code of Ethics

6 Meridian has adopted a code of ethics in compliance with applicable securities laws (“Code of Ethics”) that sets forth the standards of conduct expected of its Supervised Persons. 6 Meridian’s Code of Ethics contains written policies reasonably designed to prevent certain unlawful practices such as the use of material non-public information by the Firm or any of its Supervised Persons and the trading by the same of securities ahead of clients in order to take advantage of pending orders. The Code of Ethics also requires certain of 6 Meridian’s personnel to report their personal securities holdings and transactions and obtain pre-approval of certain investments (e.g., initial public offerings, limited offerings). However, the Firm’s Supervised Persons are permitted to buy or sell securities that it also recommends to clients if done in a fair and equitable manner that is consistent with the Firm’s policies and procedures. This Code of Ethics has been established recognizing that some securities trade in sufficiently broad markets to permit transactions by certain personnel to be completed without any appreciable impact on the markets of such securities. Therefore, under limited circumstances, exceptions may be made to the policies stated below. When the Firm is engaging in or considering a transaction in any security on behalf of a client, no Supervised Person with access to this information may knowingly effect for themselves or for their


immediate family (i.e., spouse, minor children and adults living in the same household) a transaction in that security unless:

• the transaction has been completed; • the transaction for the Supervised Person is completed as part of a batch trade with clients;

or • a decision has been made not to engage in the transaction for the client.

These requirements are not applicable to: (i) direct obligations of the Government of the United States; (ii) money market instruments, bankers’ acceptances, bank certificates of deposit, commercial paper, repurchase agreements and other high quality short-term debt instruments, including repurchase agreements; (iii) shares issued by mutual funds or money market funds; and (iv) shares issued by unit investment trusts that are invested exclusively in one or more mutual funds. Clients and prospective clients may contact 6 Meridian to request a copy of its Code of Ethics. Account Reviews 6 Meridian monitors client portfolios on a continuous and ongoing basis while regular account reviews are conducted on at least an annual basis. Such reviews are conducted by the Firm’s Principals and investment adviser representatives. All investment advisory clients are encouraged to discuss their needs, goals and objectives with 6 Meridian and to keep the Firm informed of any changes thereto. The Firm contacts ongoing investment advisory clients at least annually to review its previous services and/or recommendations and to discuss the impact resulting from any changes in the client’s financial situation and/or investment objectives. Account Statements and General Reports Clients are provided with transaction confirmation notices and regular summary account statements directly from the Financial Institutions where their assets are custodied. From time-to-time or as otherwise requested, clients may also receive written or electronic reports from 6 Meridian and/or an outside service provider, which contain certain account and/or market-related information, such as an inventory of account holdings or account performance. Clients should compare the account statements they receive from their custodian with any documents or reports they receive from 6 Meridian or an outside service provider. Client Referrals

The Firm does not currently provide compensation to any third-party solicitors for client referrals. Receipt of Economic Benefit and Brokerage Practices

6 Meridian requires that clients utilize the custody, brokerage and clearing services of Pershing for investment management accounts in the Program. Factors which 6 Meridian considers in recommending Pershing or any other broker-dealer to clients include their respective financial strength, reputation, execution, pricing, research and service. 6 Meridian does not consider, in selecting or recommending broker/dealers, whether the Firm receives client referrals from the Financial Institutions or other third party.


In seeking best execution in recommending Pershing, the determinative factor is not the lowest possible cost, but whether the transaction represents the best qualitative execution, taking into consideration the full range of a Financial Institution’s services, including among others, the value of research provided, execution capability, commission rates and responsiveness. Consistent with obtaining best execution, brokerage transactions may be directed to certain broker/dealers in return for investment research products and/or services which assist 6 Meridian in its investment decision-making process. The receipt of investment research products and/or services poses a conflict of interest because 6 Meridian does not have to produce or pay for the products or services. 6 Meridian may receive without cost from Pershing computer software and related systems support, which allow 6 Meridian to better monitor client accounts maintained at Pershing. 6 Meridian may receive the software and related support without cost because the Firm renders investment management services to clients that maintain assets at Pershing. The software and support is not provided in connection with securities transactions of clients (i.e., not “soft dollars”). The software and related systems support may benefit 6 Meridian, but not its clients directly. In fulfilling its duties to its clients, 6 Meridian endeavors at all times to put the interests of its clients first. Clients should be aware, however, that 6 Meridian’s receipt of economic benefits from a broker/dealer creates a conflict of interest since these benefits may influence the Firm’s choice of broker/dealer over another that does not furnish similar software, systems support or services. Specifically, 6 Meridian may receive the following benefits from Pershing:

• Receipt of duplicate client confirmations and bundled duplicate statements; • Access to a trading desk that exclusively services its institutional traders; • Access to block trading which provides the ability to aggregate securities transactions and

then allocate the appropriate shares to client accounts; and • Access to an electronic communication network for client order entry and account

information. Trade Aggregation

Transactions for each client generally will be effected independently, unless 6 Meridian decides to purchase or sell the same securities for several clients at approximately the same time. 6 Meridian may (but is not obligated to) combine or “batch” such orders to obtain best execution or to allocate equitably among the Firm’s clients differences in prices that might not have been obtained had such orders been placed independently. Under this procedure, transactions will generally be averaged as to price and allocated among 6 Meridian’s clients pro rata to the purchase and sale orders placed for each client on any given day. To the extent that the Firm determines to aggregate client orders for the purchase or sale of securities, including securities in which 6 Meridian’s Supervised Persons may invest, the Firm generally does so in accordance with applicable rules promulgated under the Advisers Act and no-action guidance provided by the staff of the U.S. Securities and Exchange Commission. 6 Meridian does not receive any additional compensation or remuneration as a result of the aggregation. In the event that the Firm determines that a prorated allocation is not appropriate under the particular circumstances, the allocation will be made based upon other relevant factors, which may include: (i) when only a small percentage of the order is executed, shares may be allocated to the account with the smallest order or the smallest position or to an account that is out of line with


respect to security or sector weightings relative to other portfolios, with similar mandates; (ii) allocations may be given to one account when one account has limitations in its investment guidelines which prohibit it from purchasing other securities which are expected to produce similar investment results and can be purchased by other accounts; (iii) if an account reaches an investment guideline limit and cannot participate in an allocation, shares may be reallocated to other accounts (this may be due to unforeseen changes in an account’s assets after an order is placed); (iv) with respect to sale allocations, allocations may be given to accounts low in cash; (v) in cases when a pro rata allocation of a potential execution would result in a de minimis allocation in one or more accounts, the Firm may exclude the account(s) from the allocation; the transactions may be executed on a pro rata basis among the remaining accounts; or (vi) in cases where a small proportion of an order is executed in all accounts, shares may be allocated to one or more accounts on a random basis. Financial Information

6 Meridian is not required to disclose any financial information due to the following:

• The Firm does not require or solicit the prepayment of more than $1,200 in fees six months or more in advance of services rendered;

• The Firm does not have a financial condition that is reasonably likely to impair its ability to meet contractual commitments to clients; and

• The Firm has not been the subject of a bankruptcy petition at any time during the past ten years.

Item 1: Cover Page Part 2B of Form ADV: Brochure Supplement

March 2020

Thomas H. Kirk III 8301 E. 21st St. North, Suite 150

Wichita, KS 67206

www.6meridian.com (855) 334-2110

Firm Contact:

Denice Robinson Chief Compliance Officer

This Brochure Supplement provides information about Thomas H. Kirk that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Thomas H. Kirk is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 731290.

http://www.adviserinfo.sec.gov/

Item 2: Educational Background & Business Experience Born 1959 Post-Secondary Education Wichita State University │ B.A., Liberal Arts │ 1981 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ September 2016 – Present Private Client Services │ Registered Representative │ September 2016 – Present Morgan Stanley │ Investment Adviser Representative and Registered Representative │ June 2009 – September 2016 Exams, Licenses & Other Professional Designations: Series 7 Series 31 Series 63 Series 65

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Thomas H. Kirk. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Thomas H. Kirk is actively engaged. Registered Representative of a Broker-Dealer Thomas H. Kirk is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Thomas H. Kirk may provide securities brokerage services and implement securities transactions under a commission based arrangement. Thomas H. Kirk may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that Thomas H. Kirk recommends the purchase of securities where he receives commissions or other additional compensation as a result. This practice may give him an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Thomas H. Kirk in his individual capacity as a registered representative of PCS.

Licensed Insurance Agent Thomas H. Kirk is a licensed insurance agent and in such capacity may recommend, on a fully-disclosed commission basis, the purchase of certain insurance products. A conflict of interest exists to the extent that 6 Meridian recommends the purchase of insurance products where Thomas H. Kirk receives insurance commissions or other additional compensation. 6 Meridian seeks to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Thomas H. Kirk receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Thomas H. Kirk’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Thomas H. Kirk to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Thomas H. Kirk, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Thomas H. Kirk.


March 2020

Bryan Green 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Bryan Green that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Bryan Green is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 2635816.


Item 2: Educational Background & Business Experience Born 1964 Post-Secondary Education Wichita State University │ B.S., Finance and Business │ 1987 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ September 2016 – Present Private Client Services │ Registered Representative │ September 2016 – Present Morgan Stanley │ Investment Adviser Representative and Registered Representative │ June 2009 – September 2016 Exams, Licenses & Other Professional Designations: Series 6 Series 7 Series 31 Series 63 Series 66

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Bryan S. Green. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Bryan S. Green is actively engaged. Registered Representative of a Broker-Dealer Bryan S. Green is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Bryan S. Green may provide securities brokerage services and implement securities transactions under a commission based arrangement. Bryan S. Green may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that Bryan S. Green recommends the purchase of securities where he receives commissions or other additional compensation as a result. This practice may give him an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Bryan S. Green in his individual capacity as a registered representative of PCS.

Licensed Insurance Agent Bryan S. Green is a licensed insurance agent and in such capacity may recommend, on a fully-disclosed commission basis, the purchase of certain insurance products. A conflict of interest exists to the extent that 6 Meridian recommends the purchase of insurance products where Bryan S. Green receives insurance commissions or other additional compensation. 6 Meridian seeks to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Bryan S. Green receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Bryan S. Green’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Bryan S. Green to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Bryan S. Green, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Bryan S. Green.


March 2020

Andrew Mies 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Andrew Mies that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Andrew Mies is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 2393831.


Item 2: Educational Background & Business Experience Born 1971 Post-Secondary Education Georgetown University │B.S., Finance │ 1994 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ 09/2016 – Present Private Client Services │ Registered Representative │ 09/2016 – Present Morgan Stanley │ Investment Adviser Representative and Registered Representative │ 6/2009 – 9/2016 Exams, Licenses & Other Professional Designations: Series 7 Series 31 Series 63 Series 66 Chartered Financial Analyst (CFA®) Chartered Financial Analyst (CFA®) The CFA® charter is a globally respected, graduate-level investment credential established in 1962 and awarded by CFA® Institute — the largest global association of investment professionals. To earn the CFA® charter, candidates must: 1) pass three sequential, six-hour examinations; 2) have at least four years of qualified professional investment experience; 3) join CFA® Institute as members; and 4) commit to abide by, and annually reaffirm, their adherence to the CFA® Institute Code of Ethics and Standards of Professional Conduct. The CFA® Program curriculum is updated every year by experts from around the world to ensure that candidates learn the most relevant and practical new tools, ideas, and investment and wealth management skills to reflect the dynamic and complex nature of the profession. To learn more about the CFA® charter, visit www.CFAinstitute.org.

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Andrew J. Mies. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Andrew J. Mies is actively engaged. Registered Representative of a Broker-Dealer Andrew J. Mies is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Andrew J. Mies may provide securities brokerage services and implement securities transactions under a commission based arrangement. Andrew J. Mies may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds.

http://www.cfainstitute.org/

A conflict of interest exists to the extent that Andrew J. Mies recommends the purchase of securities where he receives commissions or other additional compensation as a result. This practice may give him an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Andrew J. Mies in his individual capacity as a registered representative of PCS. Licensed Insurance Agent Andrew J. Mies is a licensed insurance agent and in such capacity may recommend, on a fully-disclosed commission basis, the purchase of certain insurance products. A conflict of interest exists to the extent that 6 Meridian recommends the purchase of insurance products where Andrew J. Mies receives insurance commissions or other additional compensation. 6 Meridian seeks to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Andrew J. Mies receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Andrew J. Mies’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Andrew J. Mies to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Andrew J. Mies, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Andrew J. Mies.


March 2020

Margaret Dechant 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Margaret Dechant that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Margaret Dechant is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 4540677.


Item 2: Educational Background & Business Experience Born 1962 Post-Secondary Education University of Nebraska at Kearney │ B.S., Business │ 1984 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ September 2016 – Present Private Client Services │ Registered Representative │ September 2016 – Present Morgan Stanley │ Investment Adviser Representative and Registered Representative │ June 2009 – September 2016 Exams, Licenses & Other Professional Designations: Series 7 Series 31 Series 63 Series 65 Professional Designation Margaret A. Dechant holds the professional designation of CERTIFIED FINANCIAL PLANNER™ (“CFP®”). The CFP® certification is a financial planning credential awarded by the Certified Financial Planner Board of Standards Inc. (the “CFP Board”) to individuals who meet its education, examination, experience and ethics requirements. Eligible candidates are generally required to have three years of financial planning related experience and possess a bachelor’s degree from an accredited U.S. college or university. Certificants are further required to complete a CFP Board-Registered Education Program (or possess a qualifying professional credential), clear a personal and professional background check, and pass the CFP® Certification Examination, a ten-hour multiple choice exam divided into three separate sessions. In order to maintain the certification, CFP® designees must also complete at least 30 hours of continuing education every two years on an ongoing basis. For additional information about this credential, please refer directly to the website of the issuing organization.

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Margaret A. Dechant. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Margaret A. Dechant is actively engaged.

Registered Representative of a Broker-Dealer Margaret A. Dechant is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Margaret A. Dechant may provide securities brokerage services and implement securities transactions under a commission based arrangement. Margaret A. Dechant may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that Margaret A. Dechant recommends the purchase of securities where she receives commissions or other additional compensation as a result. This practice may give her an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Margaret A. Dechant in her individual capacity as a registered representative of PCS. Licensed Insurance Agent Margaret A. Dechant is a licensed insurance agent and in such capacity may recommend, on a fully-disclosed commission basis, the purchase of certain insurance products. A conflict of interest exists to the extent that 6 Meridian recommends the purchase of insurance products where Margaret A. Dechant receives insurance commissions or other additional compensation. 6 Meridian seeks to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Margaret A. Dechant receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Margaret A. Dechant’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Margaret A. Dechant to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Margaret A. Dechant, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Margaret A. Dechant.


March 2020

Pamela Smith 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Pamela Smith that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Pamela Smith is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 3111456.


Item 2: Educational Background & Business Experience Born 1966 Post-Secondary Education Butler County Community College │ Attended 2003 - 2004 Fayetteville State University │ Attended 1999-2001 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ 09/2016 – Present Private Client Services │ Registered Sales Assistant │ 09/2016 – Present Morgan Stanley │ Investment Adviser Representative and Registered Representative │ 6/2009 – 9/2016 Exams, Licenses & Other Professional Designations: Series 6 Series 7 Series 22 Series 24 Series 31 Series 63 Series 65 Professional Designations Pamela A. Smith holds the professional designations of Chartered Retirement Planning CounselorSM (“CRPC®“) and Chartered Financial Consultant (“ChFC®“). The CRPC® designation is a retirement planning credential awarded by the College for Financial Planning® to individuals who meet its educational, examination and ethical requirements. Certificants are required to have completed the CRPC® Designation Program, a self-taught educational program focused on various pre- and post-retirement needs of individuals. Recipients are further required to have successfully passed a multiple-choice examination addressing a range retirement related matters, such as estate planning and asset management. On an ongoing basis, CRPC® designees are also required to affirm their adherence to the applicable Code of Ethics and complete at least 16 hours of continuing education every two years. The ChFC® designation is a financial planning credential awarded by the American College to individuals who satisfy its educational, work experience and ethics requirements. Recipients of the ChFC® certification have completed at least seven mandatory college-level courses in the areas of financial, insurance, retirement and/or estate planning, as well as income taxation and/or investments. Additionally, recipients have completed at least two elective courses on the financial system, estate planning applications, executive compensation, and/or retirement decisions. In order to maintain the designation, ChFC® holders must satisfy the ongoing requirements of the Professional Achievement in Continuing Education (“PACE”) Recertification Program, which includes 30 hours of continuing education at least every two years. For additional information about each of these credentials, please refer directly to the website of the issuing organization.

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Pamela A. Smith. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Pamela A. Smith is actively engaged. Registered Representative of a Broker-Dealer Pamela A. Smith is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Pamela A. Smith may provide securities brokerage services and implement securities transactions under a commission based arrangement. Pamela A. Smith may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that Pamela A. Smith recommends the purchase of securities where she receives commissions or other additional compensation as a result. This practice may give her an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Pamela A. Smith in her individual capacity as a registered representative of PCS. Licensed Insurance Agent Pamela A. Smith is a licensed insurance agent and in such capacity may recommend, on a fully-disclosed commission basis, the purchase of certain insurance products. A conflict of interest exists to the extent that 6 Meridian recommends the purchase of insurance products where Pamela A. Smith receives insurance commissions or other additional compensation. 6 Meridian seeks to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Pamela A. Smith receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Pamela A. Smith’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement.

6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Pamela A. Smith to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Pamela A. Smith, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Pamela A. Smith.


March 2020

Sarah Hampton 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Sarah Hampton that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Sarah Hampton is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 4758482.


Item 2: Educational Background & Business Experience Born 1983 Post-Secondary Education University of California Santa Barbara │ B.A., Business Economics │ 2003 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ September 2016 – Present Private Client Services │ Registered Representative │ September 2016 – Present Morgan Stanley │ Investment Adviser Representative and Registered Representative │ June 2009 – September 2016 Exams, Licenses & Other Professional Designations: Series 3 Series 7 Series 66 Professional Designation Sarah J. Hampton holds the professional designation of CERTIFIED FINANCIAL PLANNER™ (“CFP®”). The CFP® certification is a financial planning credential awarded by the Certified Financial Planner Board of Standards Inc. (the “CFP Board”) to individuals who meet its education, examination, experience and ethics requirements. Eligible candidates are generally required to have three years of financial planning related experience and possess a bachelor’s degree from an accredited U.S. college or university. Certificants are further required to complete a CFP Board-Registered Education Program (or possess a qualifying professional credential), clear a personal and professional background check, and pass the CFP® Certification Examination, a ten-hour multiple choice exam divided into three separate sessions. In order to maintain the certification, CFP® designees must also complete at least 30 hours of continuing education every two years on an ongoing basis. For additional information about this credential, please refer directly to the website of the issuing organization.

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Sarah J. Hampton. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Sarah J. Hampton is actively engaged. Registered Representative of a Broker-Dealer Sarah J. Hampton is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Sarah J. Hampton may provide securities

brokerage services and implement securities transactions under a commission based arrangement. Sarah J. Hampton may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that Sarah J. Hampton recommends the purchase of securities where she receives commissions or other additional compensation as a result. This practice may give her an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Sarah J. Hampton in her individual capacity as a registered representative of PCS. Licensed Insurance Agent Sarah J. Hampton is a licensed insurance agent and in such capacity may recommend, on a fully-disclosed commission basis, the purchase of certain insurance products. A conflict of interest exists to the extent that 6 Meridian recommends the purchase of insurance products where Sarah J. Hampton receives insurance commissions or other additional compensation. 6 Meridian seeks to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Sarah J. Hampton receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Sarah J. Hampton’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Sarah J. Hampton to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Sarah J. Hampton, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Sarah J. Hampton.


March 2020

Timothy Rozzell 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Timothy Rozzell that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Timothy Rozzell is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 6431976.


Item 2: Educational Background & Business Experience Born 1988 Post-Secondary Education Tabor College School of Adult and Graduate Studies │ MBA - Leadership│ 2015 Tabor College │ Bachelors of Arts - Mathematics │ 2013 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ 04/2017 – Present Private Client Services │ Registered Representative │ 05/2017 – Present New York Life │ Agent │ 12/2014 – 03/2017 Tabor College │ Graduate Assistant, Football│ 05/2013 – 12/2014 Tabor College │ Student │ 01/2011 – 05/2013 Exams, Licenses & Other Professional Designations: Series 6 Series 63 Series 65 Life and Health Insurance Certified Financial Planner™, CFP® The CFP® certification is obtained by completing an advanced college-level course of study addressing the financial planning subject areas that the CFP® Board’s studies have determined as necessary for the competent and professional delivery of financial planning services, a comprehensive certification exam and agreeing to be bound by the CFP® board’s Standard of Professional Conduct. As a prerequisite, the individual must have a Bachelor’s degree from a regionally accredited United States college or university (or foreign university equivalent) and have at least 3 years of full time financial planning experience (or equivalent measured at 2,000 hours per year). This designation requires 30 hours of continuing education every 2 years and renewing an agreement to be bound by the Standards of Professional Conduct.

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Timothy Rozzell. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Timothy Rozzell is actively engaged. Registered Representative of a Broker-Dealer Timothy Rozzell is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Timothy Rozzell may provide securities brokerage services and implement securities transactions under a commission based arrangement.

Timothy Rozzell may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that Timothy Rozzell recommends the purchase of securities where he receives commissions or other additional compensation as a result. This practice may give him an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Timothy Rozzell in his individual capacity as a registered representative of PCS. Licensed Insurance Agent Timothy Rozzell is a licensed insurance agent and in such capacity may recommend, on a fully-disclosed commission basis, the purchase of certain insurance products. A conflict of interest exists to the extent that 6 Meridian recommends the purchase of insurance products where Timothy Rozzell receives insurance commissions or other additional compensation. 6 Meridian seeks to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Timothy Rozzell receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Timothy Rozzell’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Timothy Rozzell to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Timothy Rozzell, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Timothy Rozzell.


March 2020

Trevor Phillippi 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Trevor Phillippi that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Trevor Phillippi is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 5255389.


Item 2: Educational Background & Business Experience Born 1986 Post-Secondary Education Wichita State University │ Masters of Business Administration │ 2009 – 2011 University of Kansas │ Finance/Bachelor of Science │ 2004-2007 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ September 2016 – Present Private Client Services │ Registered Sales Representative │ September 2016 – Present Morgan Stanley │ Financial Advisor Associate & Registered Representative │ June 2013 – September 2016 Beechcraft Corporation │ Senior Financial Analyst │ February 2011 – May 2013 Meritrust Credit Union │ Assistant Branch Manager │ February 2008 – November 2010 Exams, Licenses & Other Professional Designations: Series 3 Series 7 Series 66 Chartered Financial Analyst (CFA®) The CFA® charter is a globally respected, graduate-level investment credential established in 1962 and awarded by CFA® Institute — the largest global association of investment professionals. To earn the CFA® charter, candidates must: 1) pass three sequential, six-hour examinations; 2) have at least four years of qualified professional investment experience; 3) join CFA® Institute as members; and 4) commit to abide by, and annually reaffirm, their adherence to the CFA® Institute Code of Ethics and Standards of Professional Conduct. The CFA® Program curriculum is updated every year by experts from around the world to ensure that candidates learn the most relevant and practical new tools, ideas, and investment and wealth management skills to reflect the dynamic and complex nature of the profession. To learn more about the CFA® charter, visit www.CFAinstitute.org.

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Trevor Phillippi. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Trevor Phillippi is actively engaged. Registered Representative of a Broker-Dealer Trevor Phillippi is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Trevor Phillippi may provide securities brokerage services and implement securities transactions under a commission based arrangement.


Trevor Phillippi may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that Trevor Phillippi recommends the purchase of securities where he receives commissions or other additional compensation as a result. This practice may give him an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Trevor Phillippi in his individual capacity as a registered representative of PCS.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Trevor Phillippi receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Trevor Phillippi’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Trevor Phillippi to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Trevor Phillippi, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Trevor Phillippi.


March 2020

William Horner 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about William Horner that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about William Horner is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD #6779212.


Item 2: Educational Background & Business Experience Born 1989 Post-Secondary Education Simon Business School – University of Rochester │ M.S. Finance │ 2012 – 2013 University of Tulsa │ B.S. Business Administration │ 2007 - 2011 Recent Business Background 6 Meridian LLC │ Associate – Investment Management │ September 2017 - Present Full-Time Parent │ July 2016 – September 2017 Manning & Napier Advisors │ Portfolio Policy Associate│ June 2013 – July 2016 Simon Business School – University of Rochester │ Student │M.S. Finance│ August 2012 – June 2013 Apache Corporation │ Operations │ September 2011 – July 2012 University of Tulsa │ Student Business and Administration│ September 07 – June 2011 Exams, Licenses & Other Professional Designations: Chartered Financial Analyst (CFA®) The CFA® charter is a globally respected, graduate-level investment credential established in 1962 and awarded by CFA® Institute — the largest global association of investment professionals. To earn the CFA® charter, candidates must: 1) pass three sequential, six-hour examinations; 2) have at least four years of qualified professional investment experience; 3) join CFA® Institute as members; and 4) commit to abide by, and annually reaffirm, their adherence to the CFA® Institute Code of Ethics and Standards of Professional Conduct. The CFA® Program curriculum is updated every year by experts from around the world to ensure that candidates learn the most relevant and practical new tools, ideas, and investment and wealth management skills to reflect the dynamic and complex nature of the profession. To learn more about the CFA® charter, visit www.CFAinstitute.org.

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of William Horner. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which William Horner is actively engaged.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which William Horner receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.


Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising William Horner’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by William Horner to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of William Horner, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by William Horner.


March 2020

Amanda Maier 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Amanda Maier that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Amanda Maier is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 4750865.


Item 2: Educational Background & Business Experience Born 1978 Post-Secondary Education Kansas State University │ BA in Finance; Major in Finance & Natural Resources and Environmental Sciences │ 1996 – 2000 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ September 2016 – Present Private Client Services │ Registered Sales Assistant │ September 2016 – Present Morgan Stanley │ Registered Marketing Associate │ June 2009 – September 2016 Morgan Stanley & CO. Incorporated │ Registered CSA │ July 2008 – June 2009 Citigroup Global Markets Inc. │ Registered Marketing Associate │ May 2006 – July 2008 Mary Kay Cosmetics │ Beauty Consultant │ May 1997 – October 2007 Banc of America Investment Services, Inc. │ Sales/Service Assistant │ November 2003 – May 2006 Exams, Licenses & Other Professional Designations: Series 7 Series 66

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Amanda Maier. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Amanda Maier is actively engaged. Registered Representative of a Broker-Dealer Amanda Maier is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Amanda Maier may provide securities brokerage services and implement securities transactions under a commission based arrangement. Amanda Maier may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that Amanda Maier recommends the purchase of securities where he receives commissions or other additional compensation as a result. This practice may give him an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Amanda Maier in his individual capacity as a registered representative of PCS.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Amanda Maier receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Amanda Maier’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Amanda Maier to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Amanda Maier, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Amanda Maier.


March 2020

Amber Helms 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Amber Helms that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Amber Helms is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 6988756.


Item 2: Educational Background & Business Experience Born 1987 Post-Secondary Education Baker University │ BS in Business Administration and Leadership Studies │ 2005 – 2009 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ May 2019 – Present 6 Meridian LLC │ Associate, Investment Ops │ May 2018 – May 2019 Visit Overland Park │ Executive Administrator │ November 2017 – May 2018 Peoples Inc. │ Marketing Coordinator │ September 2009 – December 2017 Baker University │ Student │ August 2005 – May 2009 Exams, Licenses & Other Professional Designations: Series 65 Certified Financial Marketing Professional (CFMP)

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Amber Helms. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Amber Helms is actively engaged. 6 Meridian has no information to disclose in relation to this Item.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Amber Helms receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Amber Helms’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Amber Helms to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Amber Helms, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Amber Helms.


March 2020

Ammie Weidner 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Ammie Weidner that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Ammie Weidner is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 4808431.


Item 2: Educational Background & Business Experience Born 1983 Post-Secondary Education Wichita State University │ Finance/Bachelors of Business Administration │ 2001 – 2005 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ September 2016 – Present Private Client Services │ Sales Registered Assistant │ September 2016 – Present Morgan Stanley │ Portfolio Management Associate & Registered CSA │ June 2009 – September 2016 Morgan Stanley & Co. Incorporated │ Registered CSA │ July 2008 – June 2009 Citigroup Global Markets Inc. │ Registered MKTG Associate │ March 2007 – July 2008 Koch Supply and Trading │ Trade Accountant │ November 2005 – February 2007 Exams, Licenses & Other Professional Designations: Series 7 Series 66

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Ammie Weidner. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Ammie Weidner is actively engaged. Registered Representative of a Broker-Dealer Ammie Weidner is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Ammie Weidner may provide securities brokerage services and implement securities transactions under a commission based arrangement. Ammie Weidner may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that Ammie Weidner recommends the purchase of securities where he receives commissions or other additional compensation as a result. This practice may give him an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Ammie Weidner in his or her individual capacity as a registered representative of PCS.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Ammie Weidner receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Ammie Weidner’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Ammie Weidner to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Ammie Weidner, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Ammie Weidner.


March 2020

David Pike 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about David Pike that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about David Pike is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 6142747.


Item 2: Educational Background & Business Experience Born 1980 Post-Secondary Education Pittsburg State University│ Bachelor of Science Automotive Technology │ 2004 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ May 20, 2019 – Present Private Client Services │ Registered Representative │ May 20, 2019 – Present New York Life Securities LLC | Financial Services Representative | 7/2013 – 5/2019 Davis-Moore Auto | Sales & Finance Manager | 3/2008 – 1/2013 Exams, Licenses & Other Professional Designations: Series 6 Series 26 Series 63 Series 65

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of David Pike. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which David Pike is actively engaged. Registered Representative of a Broker-Dealer David Pike is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, David Pike may provide securities brokerage services and implement securities transactions under a commission based arrangement. David Pike may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that David Pike recommends the purchase of securities where he receives commissions or other additional compensation as a result. This practice may give him an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by David Pike in his individual capacity as a registered representative of PCS.

Licensed Insurance Agent David Pike is a licensed insurance agent and in such capacity may recommend, on a fully-disclosed commission basis, the purchase of certain insurance products. A conflict of interest exists to the extent that 6 Meridian recommends the purchase of insurance products where David Pike receives insurance commissions or other additional compensation. 6 Meridian seeks to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which David Pike receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising David Pike’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by David Pike to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of David Pike, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by David Pike.


March 2020

Denice Robinson 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Denice Robinson that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Denice Robinson is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 2540597.


Item 2: Educational Background & Business Experience Born 1971 Post-Secondary Education Pittsburg State University │ Psychology/Bachelor of Arts │ 1990-1994 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ September 2016 – Present Private Client Services │ Registered Representative │ September 2016 – Present Morgan Stanley │ Investment Adviser Representative and Registered Representative │ June 2009 – September 2016 Morgan Stanley & Co. Incorporated│ Senior Registered CSA │ July 2008 – June 2009 Citigroup Global Markets Inc. │ Relationship Manager│ August 1994 – July 2008 Exams, Licenses & Other Professional Designations: Series 7 Series 8 Series 63 Series 66

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Denice Robinson. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Denice Robinson is actively engaged. Registered Representative of a Broker-Dealer Denice Robinson is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Denice Robinson may provide securities brokerage services and implement securities transactions under a commission based arrangement. Denice Robinson may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that Denice Robinson recommends the purchase of securities where he receives commissions or other additional compensation as a result. This practice may give him an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Denice Robinson in his individual capacity as a registered representative of PCS.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Denice Robinson receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Denice Robinson to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Denice Robinson, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Denice Robinson.


March 2020

Joshua Buffolino 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Joshua Buffolino that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Joshua Buffolino is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 6899471.


Item 2: Educational Background & Business Experience Born 1977 Post-Secondary Education Wake Forest University│ Bachelor of Science – Analytical Finance│ 2001 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ 02/2018 – Present 1888 Management LLC│ Senior Investment Analyst │ 01/2015 – 01/2018 Koch Industries, Inc. │ Portfolio Manager│ 01/2012 – 12/2014 Koch Industries, Inc. │ Senior Investment Analyst│ 01/2010 – 12/2011 Koch Financial Corporation │Senior Investment Analyst│ 04/2005 – 12/2009 Exams, Licenses & Other Professional Designations: Series 65

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Joshua Buffolino. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Joshua Buffolino is actively engaged. Joshua Buffolino does not have any outside business activities to report.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Joshua Buffolino receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Joshua Buffolino’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Joshua Buffolino to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Joshua Buffolino, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Joshua Buffolino.


March 2020

Markus Phox 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Markus Phox that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Markus Phox is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 6877442.


Item 2: Educational Background & Business Experience Born 1994 Post-Secondary Education Princeton University│ Bachelor of Science – Economics│ 9/2013 – 6/2017 Recent Business Background 6 Meridian LLC │ Associate Wealth Advisor │ 10/2018 – Present Private Client Services, LLC │ Registered Representative │ 01/2019 – Present Marketaxess│ Sales/Analyst │ 07/2017 – 08/2018 Princeton University │ Undergraduate│ 08/2013 – 08/2013 Exams, Licenses & Other Professional Designations: Series 65 Series 63 Series 7 KS Life, Health, & Variable Contracts Insurance Licenses

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Markus Phox. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Markus Phox is actively engaged. Registered Representative of a Broker-Dealer Markus Phox is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Markus Phox may provide securities brokerage services and implement securities transactions under a commission based arrangement. Markus Phox may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that Markus Phox recommends the purchase of securities where he receives commissions or other additional compensation as a result. This practice may give him an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Markus Phox in his individual capacity as a registered representative of PCS.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Markus Phox receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Markus Phox’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Markus Phox to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Markus Phox, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Markus Phox.


March 2020

Rachel Becker 8301 E 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Rachel Becker that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Rachel Becker is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 7073036.


Item 2: Educational Background & Business Experience Born 1992 Post-Secondary Education Kansas State University │ Personal Financial Planning│ 2016 Recent Business Background 6 Meridian LLC │ Associate, Wealth Advisor │ 12/2018 – Present Private Client Services │ Registered Representative │ 04/2019 – Present Erie Insurance │ Business Specialist │ 12/2016 – 12/2018 Staffmark │ Representative │ 11/2017 – 01/2018 The Job Shoppe │ HR Coordinator │ 08/2016 – 02/2017 Adecco │ Temp │ 09/2016 – 12/2016 Comark │ Office Assistant │ 12/2016 – 12/2018 Ferguson │ Operations Coordinator │ 12/2016 – 12/2018 Kansas State University │ Student │ 2011 - 2016 Exams, Licenses & Other Professional Designations: Series 66 – 07/2019 Series 7 – 05/2019 SIE – 02/2019 Health/Life Insurance – 06/2016

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Rachel Becker. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Rachel Becker is actively engaged. Registered Representative of a Broker-Dealer Rachel Becker is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Rachel Becker may provide securities brokerage services and implement securities transactions under a commission based arrangement. Rachel Becker may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that Rachel Becker recommends the purchase of securities where he receives commissions or other additional compensation as a result. This practice may give her an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts

covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Rachel Becker in her individual capacity as a registered representative of PCS. Licensed Insurance Agent Rachel Becker is a licensed insurance agent and in such capacity may recommend, on a fully-disclosed commission basis, the purchase of certain insurance products. A conflict of interest exists to the extent that 6 Meridian recommends the purchase of insurance products where Rachel Becker receives insurance commissions or other additional compensation. 6 Meridian seeks to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Rachel Becker receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Rachel Becker’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Rachel Becker to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Rachel Becker, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Rachel Becker.


March 2020

Stephanie Murphy 8301 E. 21st St. North, Suite 150

Wichita, KS 67206


Firm Contact:


This Brochure Supplement provides information about Stephanie Murphy that supplements the Disclosure Brochure of 6 Meridian LLC (hereinafter “6 Meridian”), a copy of which you should have received. Please contact 6 Meridian’s Chief Compliance Officer if you did not receive the Disclosure Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about Stephanie Murphy is available on the SEC’s website at www.adviserinfo.sec.gov by searching CRD # 1837143.


Item 2: Educational Background & Business Experience Born 1965 Post-Secondary Education Wichita State University │ Finance/Bachelor’s │ 1983 - 1988 Recent Business Background 6 Meridian LLC │ Investment Adviser Representative │ September 2016 – Present Private Client Services │ Registered Sales Assistant │ September 2016 – Present Morgan Stanley │ Investment Adviser Representative and Registered Representative │ June 2009 – September 2016 Morgan Stanley & Co. Incorporated │ Senior Registered CSA │ July 2008 – June 2009 Citigroup Global Markets Inc. │ Relationship Manager │ February 2001 – July 2008 Exams, Licenses & Other Professional Designations: Series 7 Series 31 Series 63 Series 65

Item 3: Disciplinary Information 6 Meridian is required to disclose information regarding any legal or disciplinary events material to a client’s evaluation of Stephanie Murphy. 6 Meridian has no information to disclose in relation to this Item.

Item 4: Other Business Activities 6 Meridian is required to disclose information regarding any investment-related business or occupation in which Stephanie Murphy is actively engaged. Registered Representative of a Broker-Dealer Stephanie Murphy is a registered representative of Private Client Services (“PCS”), an SEC registered broker-dealer and member of FINRA. In this capacity, Stephanie Murphy may provide securities brokerage services and implement securities transactions under a commission based arrangement. Stephanie Murphy may be entitled to a portion of the brokerage commissions paid to PCS, as well as a share of any ongoing distribution or service (“trail”) fees from the sale of mutual funds. A conflict of interest exists to the extent that Stephanie Murphy recommends the purchase of securities where he receives commissions or other additional compensation as a result. This practice may give him an incentive to recommend investment products based on compensation received rather than on the client’s needs. 6 Meridian has procedures in place to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned. For certain accounts covered by ERISA (and such others that the firm deems appropriate), 6 Meridian provides investment advisory services on a fee offset basis, whereby the firm reduces its fee by an amount equal to the aggregate commissions and 12b-1 fees earned by Stephanie Murphy in his individual capacity as a registered representative of PCS.

Licensed Insurance Agent Stephanie Murphy is a licensed insurance agent and in such capacity may recommend, on a fully-disclosed commission basis, the purchase of certain insurance products. A conflict of interest exists to the extent that 6 Meridian recommends the purchase of insurance products where Stephanie Murphy receives insurance commissions or other additional compensation. 6 Meridian seeks to ensure that all recommendations are made in the best interests of clients regardless of any additional compensation earned.

Item 5: Additional Compensation 6 Meridian is required to disclose information regarding any arrangement under which Stephanie Murphy receives an economic benefit from someone other than a client for providing investment advisory services. 6 Meridian has no information to disclose in relation to this Item.

Item 6: Supervision Denice Robinson, Chief Compliance Officer, is generally responsible for supervising Stephanie Murphy’s advisory activities on behalf of 6 Meridian. Denice Robinson can be reached at the firm’s main telephone number listed on the cover page of this Brochure Supplement. 6 Meridian supervises its personnel and the investments made in client accounts. 6 Meridian monitors the investments recommended by Stephanie Murphy to ensure they are suitable for the particular client and consistent with their investment needs, goals, objectives and risk tolerance, as well as any restrictions previously requested by the client. 6 Meridian periodically reviews the advisory activities of Stephanie Murphy, which may include reviewing individual client accounts and correspondence (including e-mails) sent and received by Stephanie Murphy.

Rev. February 2018

FACTS WHAT DOES 6 MERIDIAN LLC DO WITH YOUR FINANCIAL INFORMATION?

Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.

Privacy Policy Notice

What? The types of personal information we collect and share depends on the product or service you have with us. This information can include:

• Social Security number and income • Account balances and assets • Transaction history

How? All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons 6 Meridian LLC chooses to share; and whether you can limit this sharing.

Reasons we can share your personal Does 6 Meridian LLC Can you limit this information share? sharing?

For our everyday business purposes – such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No

For our marketing purposes – to offer our products and services to you Yes No

For joint marketing with other financial companies No Not Applicable

For our affiliates’ everyday business purposes –

information about your transactions and experiences No Not Applicable

For our affiliates’ everyday business purposes –

information about your creditworthiness No Not Applicable

For our affiliates to market to you No Not Applicable

For nonaffiliates to market to you No Not Applicable

Questions? Call (316) 776-4601 or go to www.6meridian.com

Privacy Policy Notice

Who we are

Who is providing this notice? 6 Meridian LLC

What we do

How does 6 Meridian LLC protect my To protect your personal information from unauthorized personal information? access and use, we use security measures that comply with

federal law. These measures include computer safeguards and secured files and building.

How does 6 Meridian LLC collect my We collect your personal information, for example, when personal information? you:

• Open an account

• Deposit money

• Seek advice about your investments

• Enter into an investment advisory contract

• Tell us about your investment or retirement portfolio or earnings

We also collect your personal information from other companies.

Definitions

Affiliates Companies related by common ownership and control. They can be financial and nonfinancial companies.

• We have no affiliates.

Nonaffiliates Companies not related by common ownership and control. They can be financial or nonfinancial companies.

• We do not share with nonaffiliates so that they can market to you.

Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or service to you.

• We do not jointly market.

ADV: Wrap Fee Program Brochure March 2020 - 6 Meridian

Documents

Transcript of ADV: Wrap Fee Program Brochure March 2020 - 6 Meridian