9AT: ALPHAAI CAPITAL MANAGEMENT

ALPHAAI CAPITAL MANAGEMENT

ALPHAAI CAPITAL MANAGEMENT

ALPHAAI CAPITAL MANAGEMENT LLC

Adviser Profile

As of Date	02/23/2026
Registration	SEC, Approved, 09/16/2021
Contact Info	913 xxxxxxx
Websites

AUM^*	5,217,537 92%
of that, discretionary	5,217,537 92%
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	25,451 -82%
SMA’s	No
Private Funds	0

Adviser Type

- Internet adviser

Client Types

- Individuals (other than high net worth individuals)

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Reported AUM

5M 4M 4M 3M 2M 1M 745K

2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

alphaAI Capital Management is an investment advisor firm registered with the U.S. Securities and Exchange Commission (“SEC”), since September 2021. The principal owner of alphaAI Capital Management is Richard Sun, Managing Partner. Advisory Services alphaAI Capital Management’s (“alphaAI” or “Advisor”) principal service is providing fee-based custom portfolio management services over the Internet. The Advisor practices custom management of portfolios, on a discretionary basis, according to the client’s objectives. The Advisor’s primary approach is to use a tactical allocation strategy aimed at reducing risk and increasing performance. The Advisor principally utilizes exchange listed securities to accomplish this objective. The Advisor may recommend, on occasion, redistributing investment allocations to diversify the portfolio in an effort to reduce risk and increase performance. The Advisor may recommend specific stocks to increase sector weighting and/or dividend potential. The Advisor may recommend employing

cash positions as a possible hedge against market movement which may adversely affect the portfolio. The Advisor 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, or any risk deemed unacceptable for the client’s risk tolerance. alphaAI will tailor its advisory services to its client’s individual needs based on information the client provides to alphaAI through its website. If clients wish to impose certain restrictions on investing in certain securities or types of securities, the Advisor will address those restrictions with the client to have a clear understanding of the client’s requirements. alphaAI does not provide portfolio management services to wrap fee programs. As of December 31, 2023 alphaAI had $2,721,654 in discretionary, an $0 in non-discretionary, client assets under management.

ALPHAAI CAPITAL MANAGEMENT

ALPHAAI CAPITAL MANAGEMENT

ALPHAAI CAPITAL MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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ALPHAAI CAPITAL MANAGEMENT ALPHAAI CAPITAL MANAGEMENT ALPHAAI CAPITAL MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

ALPHAAI CAPITAL MANAGEMENT

ALPHAAI CAPITAL MANAGEMENT

ALPHAAI CAPITAL MANAGEMENT LLC