9AT: ALBERT INVESTMENTS, LLC

ALBERT INVESTMENTS, LLC

ALBERT INVESTMENTS, LLC

Adviser Profile

As of Date	02/03/2026
Registration	SEC, Approved, 12/03/2018
ADV Location	SANTA BARBARA, CA, United States
Contact Info	844 xxxxxxx
Websites

AUM^*	22,658,113 36%
of that, discretionary	22,658,113 36%
Number of Employees	3
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	108 41%
% High Net Worth	< 0.01% 4%
SMA’s	Yes
Private Funds	0

Adviser Type

- Multi-state adviser

Client Types

- Individuals (other than high net worth individuals)

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- Fixed fees (other than subscription fees)

Reported AUM

23M 19M 16M 13M 10M 6M 3M

2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

5 Wrap Fee. The monthly fee paid by Albert customers is the same regardless of whether a customer chooses to open an Albert Securities account or whether they choose to purchase a portfolio managed by, and become clients of, Albert Investments. With the exception of the Excluded Fees listed below, Albert customers do not separately pay for the ancillary costs associated with using an Albert Securities account or the portfolio management services provided by Albert Investments, including brokerage commissions, custody fees, portfolio management fees, or other trading fees. They pay the same fixed monthly fee regardless of how much they invest, how frequently they deposit or withdraw funds, or how frequently they place orders or execute trades. The fixed monthly fee amount is not negotiable, and is subject to change. Albert may also charge less than the stated fee amount at its discretion. The wrap fee program is the portion of the package of services offered by Albert Corp. that is used by clients of Albert Investments when investing in managed portfolios. The wrap fee is included in the monthly fee charged to Albert customers. This fee structure may cost a client more or less than purchasing the included services separately, depending on the amount of trading and portfolio management services used by the client. Excluded Fees. The following fees and costs are expressly excluded from the

monthly fee charged to Albert customers and are charged to customers separately if incurred:
• Supplemental fees for videoconference meetings;
• Fees charged by Apex Clearing Corp. to process the withdrawal of securities from an Albert Securities account via ACATS;
• Fees charged by Apex Clearing Corp. to wire funds or send a paper check (clients using ACH transfers that are not returned do not incur any additional fees);
• Fees charged by third-party banks or brokerage firms for returned checks or ACHs;
• Fees charged by Apex Clearing Corp. to send clients paper account statements (clients receiving electronic account statements do not incur any additional fees);
• Fees charged by the managers and administrators of the ETFs that are included in the managed portfolios, none of whom are affiliates of Albert. No other compensation. Neither Albert Investments nor its supervised persons receive any compensation from any third parties in exchange for recommending or placing clients in any particular investments. Albert Investments is a wholly-owned subsidiary of Albert Corp., and all employees of Albert Investments are also employees of, and solely compensated by, Albert Corp. Albert Corp. pays those shared employees a fixed salary and discretionary bonus that is not contingent on the number of clients or amounts invested in any portfolio managed by Albert Investments.