A. Firm Information Broad Investment Services LLC (“BIS” or the “Adviser”) is a registered investment adviser with the U.S. Securities and Exchange Commission (“SEC”). BIS is organized as a Limited Liability Company (“LLC”) under the laws of the State of California. BIS is owned 100% by Broad Securities LLC. Broad Securities LLC is owned Ali Kaya and Jiahui Cheng. Ali Kaya serves as the CEO and CCO of the Firm and Jiahui Cheng is a General Manager. This Disclosure Brochure provides information regarding the qualifications, business practices, and the advisory business provided by BIS. B. Advisory Business Offered BIS offers investment advisory services to high-net-worth individuals, qualified purchasers, and foreigners (non- US resident) investors (each referred to as a “Client”). Investment Management Services BIS provides customized investment advisory solutions for its clients. This is achieved through continuous personal Client contact and interaction while providing discretionary investment management and related advisory services. In certain instances, BIS may provide its services on a non-discretionary basis. BIS works with each Client to identify their investment goals and objectives as well as risk tolerance and financial situation in order to create a portfolio strategy. Broad Investment Securities invest in securities primarily in the US and Hong Kong markets . BIS’s investment strategy is primarily long-term focused, but the Adviser may buy, sell, or re- allocate positions that have been held less than one year for reasons that include, but are not limited to: changes in Client objectives; account inflows/outflows; security fundamentals and/or market conditions. The first step of the BIS investment process is to determine the strategic asset allocation targets. Once BIS establishes the long-term framework, it’s determined if the Adviser should tactically adjust the allocation targets based on the current market environment and short-term economic outlook. BIS will construct, implement, and monitor the portfolio in connection with the goals, objectives, circumstances, and risk tolerance agreed to by the Client. Each Client will have the opportunity to place reasonable restrictions on the types of investments to be held in their respective portfolio, subject to acceptance by the Adviser. BIS evaluates and selects investments for inclusion in Client

portfolios only after applying its internal due diligence process. BIS may recommend, on occasion, redistributing investment allocations to diversify the portfolio. BIS may recommend specific positions to increase sector or asset class weightings. The Adviser may recommend employing cash positions as a possible hedge against market movement. BIS may recommend selling positions for reasons that include, but are not limited to, harvesting capital gains or losses, business or sector risk exposure to a specific security or class of securities, overvaluation or overweighting of the position[s] in the portfolio, change in risk tolerance of Client, generating cash to meet Client needs, or any risk deemed unacceptable for the Client’s risk tolerance. BIS will provide investment advisory services and portfolio management services and will not provide securities custodial or other administrative services. At no time will BIS accept or maintain custody of a client’s funds or securities, except for authorized deduction of the Adviser’s fees. All Client assets will be managed within their designated account at the Custodian, pursuant to the terms of the investment advisory agreement. Portfolio Management accounts may be custodied at Interactive Brokers (“IB”). B. Client Account Management Prior to engaging BIS to provide investment advisory services, each Client is required to enter into one or more agreements with the Adviser that define the terms, conditions, authority and responsibilities of the Adviser and the Client. These services may include:
• Establishing an Investment Strategy – BIS in connection with the Client, will develop an investment strategy targeted to achieve the Client’s investment goals and objectives.
• Asset Allocation – BIS will develop a strategic asset allocation that is targeted to meet the investment objectives, time horizon, financial situation, and tolerance of risk for each Client.
• Portfolio Construction – BIS will develop a portfolio for the Client that is intended to meet the stated goals and objectives of the Client.
• Investment Management and Supervision – BIS will provide investment management and ongoing oversight of the Client’s investment portfolio. D. Assets Under Management As of December 31, 2022, BIS manages $200 in discretionary and $0 in non-discretionary assets.