Firm Description The Adviser, Alexander Investment Services Company (Incorporated) dba Alexander Investment Services (AIS), was founded in 1965. The Adviser, under its SEC registration, operates through its Investment Adviser Representatives (IARs) to provide personalized, confidential investment services to individuals, pension and profit sharing plans, trusts, estates, charitable organizations, medical and dental practices and small businesses. Advice includes identification of financial issues and objectives, cash flow management, insurance contract review, portfolio investment management, education funding and retirement and estate planning. The Adviser is in the business of offering stocks, mutual and exchange- traded funds, corporate and Federal government/agency bonds, certificates of deposit (CDs), separately managed accounts (SMAs) and other financial products to its advisory clients. The Adviser is not compensated by, nor receives economic benefit from financial providers in connection with giving investment advice to its advisory clients. The Adviser bills directly for its investment advice by debiting the accounts of its advisory clients. AIS and its affiliated Registered Representatives (RRs), operating under the company’s FINRA Broker-Dealer registration, may offer brokerage (retail) mutual fund, variable annuity, life insurance, limited partnerships (LPs) and hedge fund products to its brokerage clients. AIS and its affiliated representatives may receive compensation in the form of sales commissions and/or marketing and distribution service fees (12b-1 fees) from providers of such products for brokerage accounts but neither AIS nor its affiliated representatives receive these types of compensation for Advisory accounts. The Adviser does not directly or indirectly compensate anyone for client referrals, nor does it receive compensation for such. Investment advice consists of securities allocation strategies and recommendations. The Adviser does not act as a custodian of client assets, and the client always maintains asset control. The Adviser places trades and maintains accounts for clients under an Investment Advisory Services Agreement. A examination and evaluation of each client's financial situation and issues is discussed with the client, often in the form of an multiple asset allocation presentations by means of performance and risk analysis. Periodic portfolio reviews are communicated to clients as reminders of specific courses of action that need to be performed or maintained. Clients are asked to meet with the Adviser’s IARs at least once per year where practical, or more often at the client’s request. Other professionals (financial planners, attorneys, accountants, insurance agents, etc.) may be engaged directly by the client on an as-needed basis. Conflicts of interest with the Adviser will be disclosed to the client in the unlikely event they should occur. Initial consultations, that may transpire by a face-to-face meeting, a telephone call, or electronic communication, are free of charge and considered exploratory to determine the extent to which the Adviser’s investment analysis and management may be beneficial to the client. Adviser Ownership Leo Andrew Hanlein is a 50% shareholder, Richard Lynn Fox is a 20% shareholder, Gerald Andrew Wells is a 20% shareholder, and Thomas Craig Wilson is a 10% shareholder. Types of Investment Advisory Services The Adviser manages investment Advisory accounts through securities trading and custodial services and provides investment advice through consultations involving tables, charts and other aids which clients may use to evaluate potential securities and their suitability. The Adviser may also furnish advice to clients on matters not involving securities such as retirement planning, life insurance and variable annuities, education and estate analyses and income forecasting and planning. As of June 30, 2023, AIS had over $1.5 billion in assets under management (AUM) for more than 4,000 clients. Approximately 1,165 advisory clients accounted for $488 million in AUM. Tailored Client Relationships The investment strategies and protocols for each client are documented within an Investment Advisory Services Agreement. Clients may impose restrictions on investing in certain securities, types of securities, or specific amounts. An Investment Advisory Services Agreement may not be changed or assigned without written client consent. Types of Advisory Agreements The following types of agreements define the types of client relationships that may be pursued and maintained by the Adviser:
• Investment Advisory Services Agreement Most clients choose to have the Adviser manage their assets in order to obtain ongoing in-depth investment advice and life planning. All aspects of the client’s financial status are reviewed, including those of their children,

potential inheritances, life and health insurance, etc. Realistic, measurable goals are discussed to attain agreed upon objectives. As goals and objectives may change over time, recommendations are made and may be implemented on an ongoing basis. The scope of work and fees within an Investment Advisory Services Agreement is provided to the client at the start of the relationship. The Investment Advisory Services Agreement includes investment selection and allocation maintenance (including performance reporting), education planning, retirement planning, and estate planning as well as the implementation of recommendations within each area. The Advisory fee is generally based on a percentage of the assets managed and is billed/collected quarterly. Fees are not based on any performance criteria. The Investment Advisory Services Agreement is an ongoing agreement and continued adjustments may be required. The length of service to the client is at the client’s or the Adviser’s discretion. Either the client or the Adviser may terminate the Investment Advisory Services Agreement by written notice to the other party. At termination, fees are not adjusted on a pro rata basis for the quarter billed. The portfolio value at the completion of the prior billing quarter is used as the basis for any residual fee computation. Return on investment calculations and cost basis analysis and reporting may be performed under the Investment Advisory Services Agreement.
• Asset Management Engagements The Investment Advisory Services Agreement assets under management (AUM) are invested primarily in no-load and load-waived mutual funds or exchange-traded funds through either the Adviser’s discount broker and custodian, Schwab/TD Ameritrade Institutional, or through American Funds Service Company with few exceptions. Additional investments may include individual equities, warrants, corporate debt securities, commercial paper, certificates of deposit (CDs), investment company securities, whole and variable life insurance, variable annuities, U. S. government securities, and interests in limited partnerships (LPs). No individual or direct options or futures contracts are permitted but may be employed within some exchange- traded and mutual funds. Fund companies charge fund shareholders an investment management fee, a.k.a., an annual expense ratio that is disclosed within a fund’s prospectus. Moreover, Schwab/TD Ameritrade Institutional, as custodian and clearing agent, may charge a small transaction fee or ticket charge to buy or sell individual securities, ETFs, and/or mutual funds. The Adviser does not receive any portion of any transaction fees charged by Schwab/TD Ameritrade Institutional. Initial Public Offerings (IPOs) are not permitted to be transacted through the Adviser.
• Retirement Plan Services Engagements The Adviser provides Third Party Administration (TPA) services for ERISA and other types of retirement plans. If so engaged, a retirement plan sponsor enters into a Retirement Plan Services Agreement with the Adviser. Such an agreement details the services to be performed by the Adviser and the associated administrative fees, both direct and indirect. Whether the Adviser serves as a 3(21) fiduciary or a 3(38) fiduciary as defined by ERISA is specified in the Retirement Plan Services Agreement.
• Retainer Agreement In some circumstances, a Retainer Agreement may be executed in lieu of an Advisory Services Agreement when it is more appropriate to work with a client on an open-ended basis. The minimum fee for a Retainer Agreement is $1,000 billed at a rate of $200 per hour.
• Investment Management Agreement See Retainer Agreement above.
• Financial Planning Agreement This type of service is recommended to clients by referral to third party financial planning specialists for which the Adviser receives no fee or other compensation.
• Tax Preparation Agreement Tax preparation services are not included in either an Advisory Services Agreement or a Retainer Agreement. Tax preparation is outside the scope of the Adviser’s services. The Adviser may recommend a third party tax preparer or other tax specialist at a client’s request.
• Hourly Financial And Retirement Planning Engagements The Adviser provides financial analysis and retirement planning services for clients who need advice on a limited scope. The hourly rate for limited scope engagements is $300. This charge may be billed separately from all other services and agreements. Termination of Agreements A client may terminate any of the aforementioned agreements at any time by notifying the Adviser by regular mail or email and paying any applicable rate for the time contracted by the related agreement prior to notification of termination. The Adviser may terminate any of the aforementioned agreements at any time by notifying the client by regular mail or email.