AWM Global Advisors is a registered investment adviser based in San Diego California. We have been providing investment advisory services since November 2011. Ali Alsari is our principal owner and has over 20 years of experience in the financial services industry, working with clients worldwide in wealth management, capital markets, and private banking.
This Disclosure Brochure describes the business of our firm. As used in this brochure, the words "we", "our" and "us" refer to AWM Global Advisors, and the words "you", "your" and "client" refer to you as either a client or prospective client of our firm. Certain sections will also describe the activities of our Supervised Persons and Associated Persons. Supervised Persons and Associated Persons are any of our officers, partners, directors (or other persons occupying a similar status or performing similar functions), or employees, or any other person who provides investment advice on our firm's behalf and who is subject to our supervision or control.
Our firm provides wealth management services encompassing financial planning and asset management services, as well as limited services to retirement plans. Our investment advisory services are personalized and tailored to your individual needs.
Prior to engaging our firm to provide any investment advisory services, you are required to enter into one or more written agreements with us setting forth the terms and conditions under which we render our services (collectively the "Agreement").
Wealth Management Services We provide wealth management services which includes a broad range of comprehensive financial planning services, portfolio construction, risk management, as well as the discretionary and/or non- discretionary management of investment portfolios.
We consult with you initially and on an ongoing basis to determine risk tolerance, time horizon and other factors that may impact your investment needs. Our firm ensures that investments are suitable for your investment needs, goals, objectives and risk tolerance.
As part of our investment management services, we may customize an investment portfolio for you according to your risk tolerance and investing objectives. We may also invest your assets according to one or more model portfolios/strategies developed by our firm. Once we construct an investment portfolio for you, or select a model portfolio/strategy, 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.
We also may provide investment advice relative to variable life/annuity products, individual employer- sponsored retirement plans, or other products that may not be held by your primary custodian. In so doing, we either direct or recommend the allocation of your assets among the various investment options that are available with the product. Your assets are maintained at the specific insurance company or custodian designated by the product.
Although our firm generally obtains your approval prior to placing any transactions, in order to provide investment management services, we require you to grant our firm discretionary authority to manage your account. Discretionary authorization will allow our firm 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, if necessary. Discretionary authority is typically granted by the investment advisory agreement you sign with our firm or through trading authorization forms. 4 You may impose reasonable restrictions or mandates on the management of your account (e.g., require that a portion of their assets be invested in socially responsible funds) if, in our sole discretion, the conditions will not materially impact the performance of a portfolio strategy or prove overly burdensome to our management efforts.
Use of Independent Managers We may recommend to certain clients that they authorize the active discretionary management of a portion of their assets on a discretionary basis by and/or among certain independent investment managers ("Independent Managers"), based upon their stated investment objectives. The terms and conditions under which you engage the Independent Managers are set forth in a separate written agreement between our firm and the Independent Manager (sub-advisory relationship), or between you and the Independent Managers. We render services to you relative to the discretionary selection or replacement of Independent Managers and/or make recommendations regarding Independent Managers. In most, if not all cases, we have discretion to hire and fire the Independent Manager without prior consultation with you. We also monitor and review the account performance and your investment objectives. The assets managed by the Independent Manager are included for purposes of calculating our advisory fee and we will pay a portion of the advisory fee we charge to the Independent Manager. You are not charged a higher fee in the event an Independent Manager is utilized. When selecting or recommending an Independent Manager, we review information about the Independent Manager such as its disclosure brochure and/or material supplied by the Independent Manager or independent third parties for a description of the Independent Manager's investment strategies, past performance and risk results to the extent available. Factors that we consider in recommending an Independent Manager include your stated investment objectives, management style, performance, reputation, financial strength, reporting, pricing, and research. The investment advisory fees charged by the designated Independent Managers, together with the fees charged by the corresponding designated

broker-dealer/custodian of your assets, may be exclusive of, and in addition to, our firm's investment advisory fee as set forth below. As discussed below, you may incur fees in addition to those charged by our firm, the designated Independent Managers, and the corresponding broker-dealer and custodian.
In addition to this written disclosure brochure, you will also receive the written disclosure brochure of the designated Independent Managers. Certain Independent Managers may impose more restrictive account requirements and varying billing practices than our firm. In such instances, we may alter our corresponding account requirements and/or billing practices to accommodate those of the Independent Managers.
In certain limited cases, we may share in the fee charged by the Independent Manager. If our firm refers you to an Independent Manager where our compensation is included in the advisory fee charged by such Independent Manager and you engage the Independent Manager, we are compensated for our services by receipt of a fee to paid directly by the Independent Manager to us in accordance with the requirements of Rule 206(4)-3 of the Investment Advisers Act of 1940, as amended, and any corresponding state securities laws, rules, regulations, or requirements. Any such fee is paid solely from the Independent Manager's investment management fee and does not result in any additional charge to you.
Retirement Plan Advisory Services We offer limited services to employee benefit plans and their fiduciaries based upon the needs of the plan and the services requested by the plan sponsor or named fiduciary. In general, these services are limited to developing an investment policy statement and recommendations and periodic monitoring of 5 the Plan's menu of investments. These services will generally be non-discretionary and advisory in nature. The ultimate decision to act on behalf of the plan shall remain with the plan sponsor or other named fiduciary.
We may also provide additional types of services to plans on an individually negotiated basis. All services, whether discussed above or customized for the plan based upon requirements from the plan fiduciaries, (which may include additional plan-level or participant-level services) shall be detailed in a written agreement and be consistent with the parameters set forth in the plan documents.
Retirement Plan Advisory Services are designed to assist plan sponsors in meeting their management and fiduciary obligations to Participants under the Employee Retirement Income Securities Act ("ERISA"). Pursuant to adopted regulations of the U.S. Department of Labor under ERISA Section 408(b)(2), we are required to provide the Plan's responsible plan fiduciary (the person who has the authority to engage us as an investment adviser to the Plan) with a written statement of the services we provide to the plan, the compensation we receive for providing those services, and our status (which is described below). The services we provide to your Plan are described above, and in the service agreement that you have signed with our firm. Our compensation for these services is described below, at Item 5, and also in the service agreement. We may, with consent of the Plan, and in accordance with Plan documents, bill out of pocket expenses (such as overnight mailings, messenger, translation fees, etc.) at cost. We do not reasonably expect to receive any other compensation, direct or indirect, for the services we provide to the Plan or Participants. In providing services to the Plan and Participants, our status is that of an investment adviser registered under the Investment Advisers Act of 1940, and we are not subject to any disqualifications under Section 411 of ERISA. In performing ERISA fiduciary services, we are acting as a non-discretionary fiduciary of the Plan as defined in Section 3(21)(A)(ii), only. Types of Investments Our firm primarily allocates your assets among Independent Managers (as defined above), mutual funds, and exchange-traded funds ("ETFs") in accordance with your investment objectives. IRA Rollover Recommendations For purposes of complying with the DOL's Prohibited Transaction Exemption 2020-02 ("PTE 2020-02") where applicable, we are providing the following acknowledgment to you. When we provide investment advice to you regarding your retirement plan account or individual retirement account, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts. The way we make money creates some conflicts with your interests, so we operate under a special rule that requires us to act in your best interest and not put our interest ahead of yours. Under this special rule's provisions, we must:
•Meet a professional standard of care when making investment recommendations (give prudent advice);
•Never put our financial interests ahead of yours when making recommendations (give loyal advice);
•Avoid misleading statements about conflicts of interest, fees, and investments;
•Follow policies and procedures designed to ensure that we give advice that is in your best interest;
•Charge no more than is reasonable for our services; and
•Give you basic information about conflicts of interest. 6 We benefit financially from the rollover of your assets from a retirement account to an account that we manage or provide investment advice, because the assets increase our assets under management and, in turn, our advisory fees. As a fiduciary, we only recommend a rollover when we believe it is in your best interest.
Assets Under Management As of February 22, 2024, we provide continuous management services for $90,872,487 in client assets on a discretionary basis.