A. Firm Information Avant Capital, LLC (“Avant Capital'' or the “Advisor”) is a registered investment advisor located in the State of Louisiana. The Advisor is organized as a Limited Liability Company (“LLC”) under the laws of Louisiana. Avant Capital was founded in August 2012 and is owned and operated by Mark A. Avant (Founder and Chief Compliance Officer) and Lisa Avant (Member). Avant Capital became a registered investment advisor in January 2014. This Disclosure Brochure provides information regarding the qualifications, business practices, and the advisory services provided by Avant Capital.
B. Advisory Services Offered Avant Capital offers investment advisory services to individuals, high net worth individuals, trusts, estates, and retirement plans (each referred to as a “Client”).
The Advisor serves as a fiduciary to Clients, as defined under the applicable laws and regulations. As a fiduciary, the Advisor upholds a duty of loyalty, fairness, and good faith towards each Client and seeks to mitigate potential conflicts of interest. Avant Capital’s fiduciary commitment is further described in the Advisor’s Code of Ethics. For more information regarding the Code of Ethics, please see Item 11 – Code of Ethics, Participation or Interest in Client Transactions and Personal Trading.
Investment Management Services Avant Capital provides customized investment advisory solutions for its Clients. This is achieved through continuous personal Client contact and interaction while providing discretionary investment management services. Avant Capital works closely 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. Avant Capital will then construct an investment portfolio consisting of low-cost, diversified mutual funds and/or exchange-traded funds (“EFTs”) to achieve the Client’s investment goals. The Advisor may also utilize individual stocks or bonds to meet the needs of its Clients. The Advisor may retain certain legacy investments based on portfolio fit and/or tax considerations.
Avant Capital’s investment approach is primarily long-term focused, but the Advisor may buy, sell, or re-allocate positions that have been held for less than one year to meet the objectives of the Client or due to market conditions. Avant Capital will construct, implement, and monitor the portfolio to ensure it meets 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 Advisor.
Avant Capital evaluates and selects investments for inclusion in Client portfolios only after applying its internal due diligence process. Avant Capital may recommend, on occasion, redistributing investment allocations to diversify the portfolio. Avant Capital may recommend specific positions to increase sector or asset class weightings. The Advisor may recommend employing cash positions as a possible hedge against market movement. Avant Capital 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, changes in the risk tolerance of Clients, generating cash to meet Client needs, or any risk deemed unacceptable for the Client’s risk tolerance.
Retirement Accounts – When the Advisor provides investment advice to Clients regarding ERISA retirement accounts or individual retirement accounts (“IRAs”), the Advisor is a fiduciary within the meaning of Title I of the Employee Retirement Income Security

Act (“ERISA”) and/or the Internal Revenue Code (“IRC”), as applicable, which are laws governing retirement accounts. When deemed to be in the Client’s best interest, the Advisor will provide investment advice to a Client regarding a distribution from an ERISA retirement account or to roll over the assets to an IRA or recommend a similar transaction including rollovers from one ERISA sponsored Plan to another, one IRA to another IRA, or from one type of account to another account (e.g., commission-based account to fee-based account). Such a recommendation creates a conflict of interest if the Advisor earns a new (or increases its current) advisory fee as a result of the transaction. No client is under any obligation to roll over a retirement account to an account managed by the Advisor.
Page 4www.avantcapitalllc.com At no time will Avant Capital accept or maintain custody of a Client’s funds or securities, except for the limited authority as outlined in Item 15 – Custody. All Client assets will be managed with the designated accounts[s] at the Custodian, pursuant to the terms of the advisory agreement. Please see Item 12 – Brokerage Practices.
Retirement Plan Advisory Services Avant Capital provides retirement plan advisory services on behalf of retirement plans (each a “Plan”) and the company (the “Plan Sponsor”). The Advisor’s retirement plan advisory services are designed to assist the Plan Sponsor in meeting its fiduciary obligations to the Plan. Each engagement is customized to the needs of the Plan and Plan Sponsor. Services generally include: ●Vendor Analysis ●Enrollment and Education Support ●Investment Policy Statement (“IPS”) Design and Monitoring ●Investment Oversight Services (ERISA 3(21)) ●Investment Management Services (ERISA 3(38)) ●Performance Reporting ●Ongoing Investment Recommendation and Assistance ●ERISA 404(c) Assistance ●Benchmarking Services These services are provided by Avant Capital, serving in the capacity of a fiduciary under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”). In accordance with ERISA Section 408(b)(2), the Plan Sponsor is provided with a written description of Avant Capital’s fiduciary status, the specific services to be rendered, and all direct and indirect compensation the Advisor reasonably expects under the engagement.
C. Client Account Management Prior to engaging Avant Capital to provide investment advisory services, each Client is required to enter into one or more advisory agreements with the Advisor that define the terms, conditions, authority, and responsibilities of the Advisor and the Client. These services may include: ●Establishing an Investment Strategy – Avant Capital, in connection with the Client, will develop a strategy that seeks to achieve the Client’s goals and objectives.
●Asset Allocation – Avant Capital 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 – Avant Capital will develop a portfolio for the Client that is intended to meet the stated goals and objectives of the Client.
●Investment Management and Supervision – Avant Capital will provide investment management and ongoing oversight of the Client’s investment portfolio D. Wrap Fee Programs Avant Capital does not manage or place Client assets into a wrap fee program. Investment management services are provided directly by Avant Capital.
E. Assets Under Management As of December 31, 2023, Avant Capital manages $126,085,281 in Client assets, $123,975,191of which are managed on a discretionary basis, and $2,110,090 are managed on a non-discretionary basis. Clients may request more current information at any time by contacting the Advisor.