Faithward Capital

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
4584675
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
YOUNG, ADRIAN, EVAN
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.

PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
SECURITIES AND EXCHANGE COMMISSION
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
INJUNCTION, DISGORGEMENT AND CIVIL PENALTY
3.
Date Initiated (MM/DD/YYYY): 
05/13/2020
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
AMBASSADOR ADVISORS, LLC
6.
Principal Product Type:
Mutual Fund(s)
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE COMPLAINT ALLEGES THAT AMBASSADOR ADVISORS, LLC AND ITS PRINCIPALS WERE NEGLIGENT BECAUSE THEY DID NOT ADEQUATELY DISCLOSE
A CONFLICT OF INTEREST, PROVIDE BEST EXECUTION, OR HAVE WRITTEN POLICIES OR PROCEDURES, IN CONNECTION WITH THE SELECTION OF
MUTUAL FUNDS THAT PAID 12B-1 FEES. THE ALLEGED CLAIMS WERE MADE UNDER SECTION 206(2), SECTION 206(4) AND RULE 206(4)-7 OF THE
INVESTMENT ADVISERS ACT OF 1940.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
09/07/2022
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 2,034,446.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ON SEPTEMBER 7, 2022, THE COURT ENTERED FINAL JUDGMENTS AGAINST AMBASSADOR AND ITS PRINCIPALS. THE JUDGMENTS ORDERED:
(1)MR. BOSTWICK TO PAY $136,620 IN DISGORGEMENT, $35,273 IN PREJUDGMENT INTEREST, AND A $136,620 CIVIL PENALTY; (2) MR.
KAUFFMAN TO PAY $349,395 IN DISGORGEMENT, $95,972 IN PREJUDGMENT INTEREST, AND A $349,395 CIVIL PENALTY; (3) MR. YOUNG TO PAY
$136,627 IN DISGORGEMENT, $35,275 IN PREJUDGMENT INTEREST, AND A $136,627 CIVIL PENALTY; AND (4) AMBASSADOR TO PAY A $622,642
CIVIL PENALTY. IN ADDITION, THE JUDGMENTS ORDERED AMBASSADOR AND ITS PRINCIPALS TO CORRECT AND REMOVE MISLEADING
STATEMENTS FROM THE FIRM'S WEBSITE AND FORM ADV MATERIALS, AS WELL AS TO SEND A CORRECTIVE NOTICE ABOUT THE CASE TO THE
FIRM'S ADVISORY CLIENTS

13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON DECEMBER 20, 2021, THE ADVISORY FIRM WAS FOUND TO BE IN VIOLATION OF SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND
RULE 206(4)-7 THEREUNDER, WHICH REQUIRED THE FIRM TO ADOPT AND IMPLEMENT WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED
TO PREVENT VIOLATION OF THE ADVISERS ACT BY IT AND ITS SUPERVISED PERSONS. ON MARCH 23, 2022, REGISTRANT WAS FOUND TO HAVE
VIOLATED SECTION 206(2) OF THE INVESTMENT ADVISERS ACT OF 1940.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Item 11.H. of Part
1A or Item 2.F. of Part 1B of Form ADV.
Civil Judicial
Check Part 1A item(s) being responded to:
11.H(1)(a)
11.H(1)(b)
11.H(1)(c)
11.H(2)
Check Part 1B item(s) being responded to:
2.F(1)
2.F(2)
2.F(3)
2.F(4)
2.F(5)
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Item 11.H. of Part 1A or Item 2.F. of Part 1B. Use only one DRP to report details related to the
same event. Unrelated civil judicial actions must be reported on separate DRPs.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
4584675
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
YOUNG, ADRIAN, EVAN
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.H.
(1)(a), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.

PART II
1.  Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.) 
SECURITIES AND EXCHANGE COMMISSION
2.
Principal Relief Sought:
Civil Penalty(ies)/Fine(s)
Other Relief Sought: 
INJUNCTION, DISGORGEMENT AND CIVIL PENALTY
3.
Filing Date of Court Action (MM/DD/YYYY):
09/07/2022
 Exact
 Explanation
If not exact, provide explanation:
4.
Principal Product Type:
Mutual Fund(s)
Other Product Types: 
5.
Formal Action was brought in (include name of Federal, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case
Number): 
UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF PENNSYLVANIA - CIVIL ACTION NO.: 5:20-CV-02274
6.
Advisory Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable): 
AMBASSADOR ADVISORS, LLC
7.
Describe the allegations related to this civil action (your response must fit within the space provided): 
THE COMPLAINT ALLEGES THAT AMBASSADOR ADVISORS, LLC AND ITS PRINCIPALS WERE NEGLIGENT BECAUSE THEY DID NOT ADEQUATELY DISCLOSE
A CONFLICT OF INTEREST, PROVIDE BEST EXECUTION, OR HAVE WRITTEN POLICIES OR PROCEDURES, IN CONNECTION WITH THE SELECTION OF
MUTUAL FUNDS THAT PAID 12B-1 FEES. THE ALLEGED CLAIMS WERE MADE UNDER SECTION 206(2), SECTION 206(4) AND RULE 206(4)-7 OF THE
INVESTMENT ADVISERS ACT OF 1940.
8.
Current Status? 
 Pending
 On Appeal
 Final
9.
If on appeal, action appealed to (provide name of court) and Date Appeal Filed (MM/DD/YYYY): 
10. If pending, date notice/process was served (MM/DD/YYYY):
 Exact
 Explanation
If not exact, provide explanation:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.
11. How was matter resolved:
Judgment Rendered
12. Resolution Date (MM/DD/YYYY): 
09/07/2022
 Exact
 Explanation
If not exact, provide explanation:
13. Resolution Detail:
A.  Were any of the following Sanctions Ordered or Relief Granted(check appropriate items)?
Monetary/Fine Amount: $ 2,034,446.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions:
C.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement, or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
ON SEPTEMBER 7, 2022, THE COURT ENTERED FINAL JUDGMENTS AGAINST AMBASSADOR AND ITS PRINCIPALS. THE JUDGMENTS ORDERED: (1)
MR. BOSTWICK TO PAY $136,620 IN DISGORGEMENT, $35,273 IN PREJUDGMENT INTEREST, AND A $136,620 CIVIL PENALTY; (2) MR. KAUFFMAN
TO PAY $349,395 IN DISGORGEMENT, $95,972 IN PREJUDGMENT INTEREST, AND A $349,395 CIVIL PENALTY; (3) MR. YOUNG TO PAY $136,627 IN
DISGORGEMENT, $35,275 IN PREJUDGMENT INTEREST, AND A $136,627 CIVIL PENALTY; AND (4) AMBASSADOR TO PAY A $622,642 CIVIL
PENALTY. IN ADDITION, THE JUDGMENTS ORDERED AMBASSADOR AND ITS PRINCIPALS TO CORRECT AND REMOVE MISLEADING STATEMENTS
FROM THE FIRM'S WEBSITE AND FORM ADV MATERIALS, AS WELL AS TO SEND A CORRECTIVE NOTICE ABOUT THE CASE TO THE FIRM'S ADVISORY

CLIENTS
14. Provide a brief summary of circumstances related to the action(s), allegation(s), disposition(s) and/or finding(s) disclosed above (your response must
fit within the space provided). 
ON DECEMBER 20, 2021, THE ADVISORY FIRM WAS FOUND TO BE IN VIOLATION OF SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND
RULE 206(4)-7 THEREUNDER, WHICH REQUIRED THE FIRM TO ADOPT AND IMPLEMENT WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED
TO PREVENT VIOLATION OF THE ADVISERS ACT BY IT AND ITS SUPERVISED PERSONS. ON MARCH 23, 2022, REGISTRANT WAS FOUND TO HAVE
VIOLATED SECTION 206(2) OF THE INVESTMENT ADVISERS ACT OF 1940.