DAI Wealth, Inc. was established in March 2006 as an SEC-registered investment advisory firm. We changed the form of business from a corporation to a limited liability company in 2022. Accordingly, DAI Wealth, LLC (“DAIW”) was established in September 2022 and succeeded DAI Wealth, Inc. as an SEC-registered investment advisory firm. DAIW is owned by DAI Holdings, LLC, which in turn is owned by the Joseph G. Michaletz and Christine E. Michaletz Living Trusts. Mr. Michaletz serves as the firm’s President and primary advisor, while Ms. Michaletz serves as the firm’s Vice President, Secretary, and Treasurer. As of December 31, 2023, DAIW was providing continuous and regular asset management services to $152,547,774 in assets, all of which is managed on a discretionary basis and none of which is managed on a non-discretionary basis. Investment Management Services DAIW provides investment management for clients using separately managed accounts (“SMAs”), unified managed accounts (“UMAs”), adviser-managed accounts (“AMAs”), and mutual fund asset allocation (“MFAA”) programs. We will refer to these different forms of management services as “programs” in this Brochure, and we describe them in more detail below. The individual securities typically used include, but are not limited to, equities (both foreign and domestic), exchange traded funds (ETFs), mutual funds and variable annuities. Each investment portfolio is tailored to meet the needs of the individual client. In addition, the client may place reasonable restrictions on the purchase of certain securities; however, placing too many restrictions could potentially negate the benefits of the services offered by the firm and therefore may be impractical. The programs that DAIW uses to manage client assets are described in more detail below. The firm has no minimum account size. DAIW’s investment management programs are administered through platform providers such as SMArtX Advisory Solutions LLC (“SMArtX”), Envestnet Asset Management, Inc. (“Envestnet”), or SEI Private Trust Company (“SEI”). Clients will have access to their accounts and other internet- based services, which include performance reporting, fee billing, and a platform of approved programs, via websites linked to the platform. In addition to providing clients with access to their individual accounts, the websites also provide online analytical tools to assist IARs of DAIW in conducting research on the various investment options. The IAR will assist the client in determining, among other things, the client’s investment objectives, time horizon, and risk tolerance. Each IAR uses his/her own analysis and research investment style and strategy as well as ongoing management philosophy. Based on the results of this analysis, the IAR will assist the client with the selection of one or more of the investment programs offered through DAIW that will meet the client’s investment objectives. Our clients formally engage us by signing one of several agreement forms. The Agreements signed by historical clients may have different names, but new clients sign our “Client Agreement.” Upon entering into a Client Agreement, the client acknowledges that it is his/her responsibility to provide DAIW with updated information about his/her investment objectives and agrees to notify DAIW or the IAR of any changes in his/her circumstances or investment objectives that would cause a change in the portfolio to which his/her account assets have been allocated. The Investment Programs Available The SMA program offers portfolios of individual stocks and bonds that are managed by third-party money managers contracted through the platform providers. Additional money managers may be added and may contract through the platform provider to provide management services for clients’ portfolios. The UMA program allows DAIW to act as an “overlay manager.” As overlay manager, the firm customizes a combination of SMAs, ETFs, and mutual funds into a single portfolio. The MFAA program offers model portfolios of mutual funds and ETFs that are managed by third- party

managers to match the clients' investment objectives. These are managed primarily by allocating a client’s portfolios among various asset types through the purchase of asset-style or index-style mutual funds. The AMA program offers clients an account in which the IAR directs and manages specified client assets on a discretionary basis. The portfolios will comprise investment options that may include individual stocks, bonds, ETFs, or mutual funds. DAIW also offers retirement plan services to retirement plan sponsors. In these circumstances, DAIW is a covered service provider under Section 408(b)(2) of ERISA. DAIW provides the advisory services to a plan, as selected, as a fiduciary under Section 3(21)(A)(ii) of ERISA and will act in good faith and with the degree of diligence, care, and skill that a prudent person rendering similar services would exercise under similar circumstances. DAIW typically provides both fiduciary and non-fiduciary services to the plan. The final alternative is the DAIW Large Cap Equity Model. As the name suggests, this is a model portfolio in which all clients own a similar blend of securities. Under this program, DAIW executes trades for clients in the AMA program through Fidelity. With the exception of the advisor-directed alternatives, the platform provider acts as a sub-adviser for the above-described management programs. In its capacity as sub-adviser, SMArtX, Envestnet, SEI, or the individual third-party managers available on its platform are responsible for effecting transactions for DAIW clients’ accounts based on the program(s) selected by the clients and communicated to the platform provider by the individual money managers within the programs referenced above. In certain circumstances, the platform provider may not execute the trades as directed by the money managers in investing client funds, due to trading restrictions, insufficient funds, or other events. In these situations, the platform provider will not mirror the trades of the money managers for all or certain DAIW clients. Clients receive quarterly performance reports that are posted to client’s individual portal made available through DAIW or the platform provider’s website, which can be accessed by clients at any time. In addition, the custodian of each client’s account sends trade confirmations and quarterly or monthly account statements showing all transactions, positions, and all deposits and withdrawals of principal and income. Financial Planning and Consulting Services IARs may also provide consultation on various financial advisory topics that address the client's financial needs and objectives. In analyzing a client's current financial situation and investment goals, IARs will present strategies and recommendations to help the client attain his/her stated investment goals. The IAR may discuss with the client any one or more of the following planning topics: investment planning, insurance planning, retirement planning, estate planning, business ownership, and succession planning. The services to be provided will be described in a separate Financial Planning or Consulting Agreement. The IAR may use a variety of tools to provide the agreed-upon consulting services. Development of a written plan is not generally included with this consultation service. Clients may choose to implement any advice provided by the firm or its IARs through professionals other than those associated with the firm. Types of Securities The firm does not limit its investment recommendations to any specific type of product or security. A client’s individual needs and objectives are analyzed to determine appropriate investments and products for the client. DAIW may recommend that clients purchase shares of mutual funds, exchange traded funds, individual stocks, individual bond positions, certificates of deposit, REITs, options, warrants, limited partnerships, variable annuities, and variable life insurance products. The firm may also provide advice on other products not listed above. In some cases, these products may be non-securities products.