A. Description of the Advisory Firm TransGlobal Advisory LLC (hereinafter “TGA”) is a Limited Liability Company organized in the State of California. The firm was formed in May 2013, and the principal owner is Philip Hu. The firm was approved as an investment advisory firm in September 2014. If the client has not received a copy of the brochure documents at least 48 hours prior to signing an agreement, the client has five business days in which to cancel the agreement, without penalty. B. Types of Advisory Services Portfolio Management Services TGA offers ongoing portfolio management services based on the individual goals, objectives, time horizon, and risk tolerance of each client. TGA creates an Investment Policy Statement for each client, which outlines the client’s current situation (income, tax levels, and risk tolerance levels) and then constructs a plan to aid in the selection of a portfolio that matches each client's specific situation. Portfolio management services include, but are not limited to, the following: • Investment strategy • Personal investment policy • Asset allocation • Asset selection • Risk tolerance • Regular portfolio monitoring TGA evaluates the current investments of each client with respect to their risk tolerance levels and time horizon, and then decides which investment strategy should be used. TGA will request discretionary authority from clients in order to select securities and execute transactions without permission from the client prior to each transaction. TGA’s investment objective is to help our clients reach their individualized goals with the least amount of assumed risk possible. TGA looks to maximize our clients’ portfolio return within our client’s specific risk. Risk tolerance levels are documented in the Investment Policy Statement, which is given to each client. In some instances, TGA’s discretionary authority in making these determinations may be limited by conditions imposed by a client (in investment guidelines or objectives, or client instructions otherwise provided to TGA. TGA seeks to provide that investment decisions are made in accordance with the fiduciary duties owed to its accounts and without consideration of TGA’s economic, investment or other financial interests. To meet its fiduciary obligations, TGA attempts to avoid, among other things, investment or trading practices that systematically advantage or disadvantage certain client portfolios, and accordingly, TGA’s policy is to seek fair and equitable allocation of investment opportunities/transactions among its clients to avoid favoring one client over another over time. It is TGA’s policy to allocate investment opportunities and transactions it identifies as being appropriate and prudent, including initial public offerings ("IPOs") and other investment opportunities that might have a limited supply, among its clients on a fair and equitable basis over time. In addition, TGA provides Non-Discretionary, Non-Trading Management portfolio management services to clients. With this service TGA will not have discretionary authority and will not purchase or sell securities. It is up to clients to implement transitions since TGA will not enter trades on behalf of the client. TGA provides an additional service for accounts not directly held in our custody, but where we do have discretion (“Held Away Accounts”), and may leverage an Order Management System to implement tax-efficient asset location and opportunistic rebalancing strategies on behalf of the client. These are primarily 401(k) accounts, HSAs, defined contribution plan participant accounts, and other assets we do not custody. We regularly review the available investment options in these accounts, monitor them, and rebalance and implement our strategies in the same way we do other accounts, though using different tools as necessary. In doing so, we use a third party platform to facilitate management of these held away assets, with discretion. The platform allows us to avoid being considered to have custody of Client funds since we do not have direct access to Client log-in credentials to affect trades. We are not affiliated with the platform in any way and receive no compensation from them for using their platform. A link will be provided to the Client allowing them to connect an account(s) to the platform. Once Client account(s) is connected to the platform, TGA will review the current account allocations. When deemed necessary, TGA will rebalance the account considering client investment goals and risk tolerance, and any change in allocations will consider current economic and market trends. In connection with our portfolio management services, we offer advice to our clients on buying and selling digital assets through platforms operated by Interactive Brokers LLC’s ("IBKR") platform, which are provided by Paxos Trust (a New York Limited Trust Company licensed by the New York Department of Financial Services), which is specifically licensed to engage in virtual currency services. Pension Consulting Services TGA offers consulting services to pension or other employee benefit plans (including but not limited to 401(k) plans). Pension consulting may include, but is not limited to: o identifying investment objectives and restrictions o providing guidance on various assets classes and investment options o recommending money managers to manage plan assets in ways designed to achieve objectives o monitoring performance of money managers and investment options and making recommendations for changes o recommending other service providers, such as custodians, administrators and broker-dealers o creating a written pension consulting plan These services are based on the goals, objectives, demographics, time horizon, and/or risk tolerance of the plan and its participants. Financial Planning Financial plans and financial planning may include but are not limited to: investment planning; life insurance; tax concerns; retirement planning; college planning; and debt/credit planning. Please see description of these services below. Investment Planning-Discretionary Investment management with ETF, Mutual funds, stocks, bonds and options. The asset allocation is based on clients risk tolerance. Life insurance- Give clients insurance product recommendation based on their financial planning needs. Tax concerns- work with CPA to address clients' tax concern within their financial plan. Retirement planning- work with a Third Part Administrator (“TPA”) and CPA to create the most suitable retirement plan for clients based on their financial planning needs. A TPA is an organization that manages many of the day-to-day administrative services for the employee retirement plans. College planning-offer clients ESA, 529, and insurance living benefit to assist with clients college planning needs. Debt/credit planning-Review clients assets, liabilities, and cashflow within their financial plan. Provide suggestions on strategies to improve cashflow. The Financial Planning Agreement contains the entire agreement between the parties and may not be modified or amended except in writing as executed by both parties. Client may terminate the Agreement within five (5) business days of signing, without penalty, and with full refund of the advisor’s fees. The Financial Planning Agreement shall continue in effect until the earlier of (i) IA’s delivery of a financial plan to Client or (ii) termination by either party by giving to the other written notice. In the case of early termination prior to completion of the plan, IA will deliver upon termination that portion of the plan that has been prepared. In offering financial planning, a conflict exists between the interests of the investment adviser and the interests of the client. The client is under no obligation to act upon the investment adviser's recommendation, and, if the client elects to act on any of the recommendations, the client is under no obligation to effect the transaction through the investment adviser. This statement is required by California Code of Regulations, 10 CCR Section 260.235.2. Family Office Services TGA family office offers a total financial and non-financial solutions with a wider

range of services, to meet the needs for high-net-worth clients. Financial services for high-net worth clients includes investment management, insurance planning, tax planning, estate planning, and strategic financial planning. Non-financial services include philanthropy activity assistance, family monitoring, education planning assistance, lifestyle management assistance, legal counsel coordination. Please see description of these services below: Investment management-Discretionary Investment management with ETF, Mutual funds, stocks, bonds and options. The asset allocation is based on client’s risk tolerance. Insurance Planning- Recommend clients products of life, health, disability, long-term care, and property and casualty insurance, to help client mitigate risk when an uncontrollable event takes place and to protect clients’ family and business interest from financial hardship during an unforeseen catastrophe. Tax planning- work with CPA to address clients' tax concern, including cross-border tax planning, federal, state & local income tax planning, charitable tax planning and structuring, and Tax planning for trusts & estates. Estate Planning- work with attorney to help clients arrange the ways to dispose their estate during their life and after death. Through use of living trust, life insurance, and beneficiary designation, TGA helps clients avoid probate while minimizing gift, estate and generation skipping transfer and income tax. Strategic financial planning – Help client with closely-held business valuation & exit strategy. Philanthropy Activity Assistance – Help client make an impact through education on philanthropy, development of philanthropic mission statement, and monitor of the foundation. Family Monitoring- Help clients to facilitate the family meeting, to develop and implement the mission statement, and to establish the family governance system. Education Planning Assistance – Help clients for development of individual and family education plans as well as trustee and beneficiary mentoring Lifestyle management assistance – Assist clients with liability restructuring and guide them with acquisition and financing or lifestyle assets. Legal counsel coordination – Provide clients with legal counsel on real estate, trust planning, patent and family law. Cash Management Services TGA makes available to clients the FICA For Advisors cash management program (“FICA Program”) offered by StoneCastle Network, LLC (“StoneCastle”), an affiliate of StoneCastle Cash Management, LLC. The FICA Program allows customers to deposit funds in accounts at banks, savings institutions and credit unions (collectively, “Insured Depositories”) in a manner that maintains full insurance of the funds by the Federal Deposit Insurance Corporation (“FDIC”) or National Credit Union Administration (“NCUA”), whichever is applicable. Funds will be deposited within StoneCastle’s network of Insured Depositories (“Deposit Network”). TGA will assist clients in signing up for this program and facilitating the transfer of funds between the client’s like-titled brokerage accounts and the FICA account. Estate Planning TGA will offer Estate Planning services to clients to assist with general information as it applies to review of existing plans, gathering information needed to provide outside firms in the creation of documents, and updating existing plans for client. Depending on the client’s needs and desires for estate planning document review, preparation, or updates we will engage with a third-party service or estate planning attorneys. However, TGA will generally recommend EncorEstate Planning Software for this service. Clients are not required to utilize a third-party service that we may recommend, and they may receive similar services from other professionals at a similar or lower cost. Fees associated with the service will be in addition to the fees that clients may already pay and are disclosed in Item 5, and within the agreement that clients sign upon engaging in this service. Services Limited to Specific Types of Investments TGA generally limits its investment advice to mutual funds, fixed income securities, real estate funds (including REITs), insurance products including annuities, equities, private placements, options, ETFs (including ETFs in the gold and precious metal sectors), digital assets (ex. cryptocurrencies and tokens),treasury inflation protected/inflation linked bonds and non-U.S. securities. TGA may use other securities as well to help diversify a portfolio when applicable. TGA uses long term trading, short term trading, and options trading (including covered options, uncovered options, or spreading strategies). TGA's use of options trading generally holds greater risk, and clients should be aware that there is a material risk of loss using any of those strategies. Long term trading is designed to capture market rates of both return and risk. Due to its nature, the long-term investment strategy can expose clients to various types of risk that will typically surface at various intervals during the time the client owns the investments. These risks include but are not limited to inflation (purchasing power) risk, interest rate risk, economic risk, market risk, and political/regulatory risk. Options transactions involve a contract to purchase a security at a given price, not necessarily at market value, depending on the market. This strategy includes the risk that an option may expire out of the money resulting in minimal or no value, as well as the possibility of leveraged loss of trading capital due to the leveraged nature of stock options. Option transactions also involve risks including but not limited to economic risk, market risk, sector risk, idiosyncratic risk, political/regulatory risk, inflation (purchasing power) risk and interest rate risk. An uncovered option is a type of options contract that is not backed by an offsetting position that would help mitigate risk. The risk for a “naked” or uncovered put is not unlimited, whereas the potential loss for an uncovered call option is limitless. Short term trading risks include liquidity, economic stability, and inflation, in addition to the long-term trading risks listed above. Frequent trading can affect investment performance, particularly through increased brokerage and other transaction costs and taxes. Clients do not need to pay any additional fees except mutual fund/ ETF management fees if they utilize Interactive Brokers LLC and Charles Schwab & Co as custodians. Transglobal Advisory LLC is a manager of Typhos Structured Alpha LP, a private fund. TGA will recommend investments in this private fund to those clients for which investment in the fund is in the client’s best interest. C. Client Tailored Services and Client Imposed Restrictions TGA will tailor a program for each individual client. This will include an interview session to get to know the client’s specific needs and requirements as well as a plan that will be executed by TGA on behalf of the client. TGA may use “model portfolios” together with a specific set of recommendations for each client based on their personal restrictions, needs, and targets. Clients may not impose restrictions in investing in certain securities or types of securities in accordance with their values or beliefs. We implement the six steps financial planning process and help client create a comprehensive financial/investment plan for risk management. D. Wrap Fee Programs TGA acts as portfolio manager for and sponsor of a wrap fee program, which is an investment program where the client pays one stated fee that includes management fees, transaction costs, and certain other administrative fees. However, this brochure describes TGA’s non-wrap fee advisory services; clients utilizing TGA’s wrap fee portfolio management should see TGA’s separate Wrap Fee Program Brochure. TGA manages the investments in the wrap fee program but does not manage those wrap fee accounts any differently than it would manage non-wrap fee accounts. TGA receives the advisory fee set forth in Item 5 below as a management fee under the wrap fee program. Please also see Item 5 and Item 12 of this brochure. E. Assets Under Management TGA has the following assets under management: Discretionary Amounts: Non-discretionary Amounts: Date Calculated: $18,071,558 $0 December 2022