9AT: AMI INVESTMENT MANAGEMENT INC

AMI INVESTMENT MANAGEMENT INC

other names

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Adviser Profile

As of Date	03/20/2024
Adviser Type - Large advisory firm
Number of Employees	5
of those in investment advisory functions	3
Registration	SEC, Approved, 06/09/1995

AUM^*	705,315,450 7.41%
of that, discretionary	705,315,450 7.41%
Private Fund GAV^*	0
Avg Account Size	986,455 -51.33%
% High Net Worth	18.35% -20.13%
SMA’s	Yes
Private Funds	0
Contact Info	260 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Charitable organizations
- State or municipal government entities
- Corporations or other businesses not listed above
- Other

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Pension consulting services

Compensation Arrangments

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

Reported AUM

Discretionary

Non-discretionary

731M 626M 522M 417M 313M 209M 104M

2016 2017 2018 2019 2020 2021 2022 2023

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker92206C102	Stock NameVANGUARD SCOTTSDALE FDS	$ Position$39,326,539	% Position13.00%	$ Change15.00%	# Change16.00%
Stck Ticker92204A702	Stock NameVANGUARD WORLD FD	$ Position$37,092,872	% Position12.00%	$ Change6.00%	# Change0.00%
Stck Ticker92206C409	Stock NameVANGUARD SCOTTSDALE FDS	$ Position$15,644,126	% Position5.00%	$ Change6.00%	# Change8.00%
Stck Ticker92206C706	Stock NameVANGUARD SCOTTSDALE FDS	$ Position$12,480,672	% Position4.00%	$ Change10.00%	# Change15.00%
Stck Ticker78462F103	Stock NameSPDR S&P 500 ETF TR	$ Position$12,281,530	% Position4.00%	$ Change17.00%	# Change15.00%
Stck Ticker25861R402	Stock NameDOUBLELINE ETF TRUST	$ Position$11,460,739	% Position4.00%	$ Change8.00%	# Change13.00%
Stck Ticker41151J885	Stock NameHARBOR ETF TRUST	$ Position$11,619,317	% Position4.00%	$ Change-3.00%	# Change9.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$9,359,836	% Position3.00%	$ Change3.00%	# Change5.00%
Stck Ticker02079K107	Stock NameALPHABET INC	$ Position$8,658,748	% Position3.00%	$ Change17.00%	# Change3.00%
Stck Ticker922907746	Stock NameVANGUARD MUN BD FDS	$ Position$8,423,395	% Position3.00%	$ Change0.00%	# Change2.00%

Brochure Summary

Overview

Founded in 1995 by Michael D. Axel, CFA, AMI provides independent investment management services to individuals and institutions. AMI is a registered investment advisor (RIA) fully owned by management (Mr. Axel). AMI focuses on providing investment management services primarily for long-term investors. Our goal is to protect and enhance the purchasing power of our clients’ assets and our guiding principle is to treat clients the way we would want to be treated if our roles were reversed. We aim to avoid conflicts of interest between us and our clients, operate with full transparency, carry on a high-quality and meaningful dialogue with our clients, adhere to sound long-term investing principles and rely on our bottom-up fundamental research when constructing investment portfolios. AMI focuses on the management of our clients’ investment assets. We work with our clients to develop an investment policy statement (IPS) that meets their long-term goals and objectives. The IPS typically sets forward limits on what percentage of the client’s portfolio can be invested in a given asset class (e.g. stocks or bonds). The IPS is crafted to meet both the client’s ability and willingness to accept investment risk. AMI generally has discretionary authority over our clients’ investments, meaning that we are able to make decisions regarding the purchase or sale of

investment securities without obtaining the consent of the client. Clients are generally free to impose restrictions on investing in certain securities or types of securities, although the majority impose no such restrictions outside of the standard language set forth in the IPS. AMI invests across a broad range of securities, including but not limited to domestic and international stocks, corporate and sovereign bonds, real estate investment trusts, exchange-traded funds and mutual funds. AMI invests in alternative investments if given authority by the client. For qualifying clients, this could include private investment structures such as limited partnerships (such investments require specific client approval). We do not limit ourselves to providing advice to any specific set of investments or investment classes. More information on our investment strategies can be found in Item 8. As of December 31, 2023, AMI managed $705,315,450 million in assets. AMI does not participate in any wrap fee programs. AMI also offers financial planning services for our clients. Such services may include investment planning, retirement planning, educational planning, estate planning, cash flow planning, business planning and other areas of analysis. Clients are responsible for the implementation of any plan recommendations, which may or may not be offered in writing.