A. General Description of Advisory Firm. Alpha Solutions Investment Advisors, LLC (“Alpha”) is a California limited liability company founded in 2010. The principal owners are Anthony T. Sam and John Lui. Alpha is licensed as a Registered Investment Advisor (“RIA”) with the Securities and Exchange Commission (“SEC”). As a Registered Investment Advisor, under Federal and State laws, we are a fiduciary and must make full disclosure to our clients of all material facts relating to our advisory relationship. Our duty as a fiduciary to our clients includes the following:
• We must act in what we reasonably believe to be in the client’s best interests, and in the event of a conflict of interest, we must place the client’s interest before our own.
• We must seek to avoid conflicts of interests with our clients, and at a minimum, make full disclosure of all material conflicts of interest between our clients that could affect the advisory relationship.
• Obligations to disclose to you all material conflicts between your interests and our interests – transparency.
• If we, or our affiliates receive additional compensation from you or a third-party as a result of our relationship with you, we must disclose that to you.
• We must obtain your informed consent before engaging in transaction with you for our own account or that of an affiliate or another client when we act in an advisory capacity.
• We must treat you and our other advisory clients fairly and equitably and cannot unfairly advantage one client to the disadvantage of another.
• The investment decisions or recommendations we make for you must be suitable and appropriate for you and consistent with your investment objectives and goals and any restrictions you have placed on us. As a fiduciary, we must always seek to avoid conflicts of interest with our clients, and at a minimum, make full disclosure of conflicts of interest between us and our clients that could affect the advisory relationship. This obligation includes that we disclose all material conflicts of interests under CCR Section 260,238(k) regarding the firm, its principals, representatives or any of its employees, which could be reasonably expected to impair the rendering of unbiased and objective advice. Also, as a fiduciary, we will in each and every investment

decision, have our clients’ best interest as the utmost priority and concern. B. Description of Advisory Services. We provide continuous customized wealth management solutions on a discretionary basis tailored to the specific needs of each client. Our investment management services are provided to meet the investment goals, risk tolerances and other specified guidelines of our clients. We construct and manage portfolios containing a diversified allocation from all major asset classes which may include domestic and foreign stocks/equities, fixed income, exchange traded funds (“ETFs”), exchange traded real estate investment trusts (“REITs”), Master Limited Partnerships (“MLPs”) and preferred stock. We typically do not include mutual funds in a client’s portfolio unless the client already owns them. We also provide investment advice on cash management, currency hedging, asset allocation, and alternative asset classes such as real estate and private equity. When meeting with a new client, we take great care in learning of their financial objectives, risk tolerances and investment goals, guidelines and restrictions in order to develop a thorough understanding of the client’s financial landscape and needs. Throughout the relationship we continue to monitor the requirements of the client and modify or reconfigure our investment management decisions accordingly. We manage client portfolios on a discretionary basis, this means our clients grant a limited power of attorney to us to supervise and manage the account, place buy/sell trades within accounts. Our discretionary authority is limited to only the buying/selling of assets within the specified portfolio. Clients may place reasonable restrictions on our investment discretion, (for example, some clients have asked not to sell certain securities where the client has a particularly low tax basis, others have requested to not purchase securities of companies that produce tobacco products.) As of March 28, 2024 our discretionary assets under management totaled $172,357,185.23. In addition to our personalized asset management solutions, we also provide in-depth and comprehensive financial planning services on a limited basis. The firm may or may not charge additional fees for financial planning, which may also include retirement planning and estate planning.