Description of Services and Fees Capital View Management, LLC is a registered investment adviser based in Des Moines, Iowa. We are organized as a limited liability company under the laws of the State of Iowa. We have been providing investment advisory services since 2003. Samuel O'Brien is our principal owner. Currently, we offer the following investment advisory services, which are personalized to each individual client:
•Portfolio Management Services
•Advisory Consulting Services We use the terms "we" and "our" throughout this disclosure brochure to refer to Samuel O'Brien. The use of these terms is not intended to imply that there is more than one individual associated with this firm.
Portfolio Management Services We offer discretionary and non-discretionary portfolio management services. Our investment advice is tailored to meet our clients' needs and investment objectives. If you retain our firm for portfolio management services, we will meet with you to determine your investment objectives, risk tolerance, and other relevant information at the beginning of our advisory relationship. We will use the information we gather to develop a strategy that enables our firm to give you continuous and focused investment advice and/or to make investments on your behalf. As part of our portfolio management services, we may customize an investment portfolio for you according to your risk tolerance and investing objectives. Once we construct an investment portfolio for you, we will monitor your portfolio's performance on an ongoing basis, and will rebalance the portfolio as required by changes in market conditions and in your financial circumstances.
If you participate in our discretionary portfolio management services, we require you to grant our firm discretionary authority to manage your account. Discretionary authorization will allow us to determine the specific securities, and the amount of securities, to be purchased or sold for your

account without your approval prior to each transaction. Discretionary authority is typically granted by the investment advisory agreement you sign with our firm and the appropriate trading authorization forms. You may limit our discretionary authority (for example, limiting the types of securities that can be purchased for your account) by providing our firm with your restrictions and guidelines in writing. If you enter into non- discretionary arrangements with our firm, we must obtain your approval prior to executing any transactions on behalf of your account.
Advisory Consulting Services We offer consulting services which primarily involves advising clients on specific financial-related topics. The topics we address may include, but are not limited to, risk assessment/management, investment planning, financial organization, or financial decision making/negotiation.
Types of Investments We offer advice primarily on exhange traded equity securities. Additionally, we may advise you on various types of investments based on your stated goals and objectives, and we may also provide advice on any type of investment held in your portfolio at the inception of our advisory relationship. You may request that we refrain from investing in particular securities or certain types of securities. You must provide these restrictions to our firm in writing.
4 Since our investment strategies and advice are based on each client's specific financial situation, the investment advice we provide to you may be different or conflicting with the advice we give to other clients regarding the same security or investment. Please see the Methods of Analysis, Investment Strategies and Risk of Loss section for more information. Assets Under Management As of February 20, 2024, we provide continuous management services for approximetely $112,000,000 in client assets on a discretionary basis, and no client assets on a non-discretionary basis.