9AT: SAOS CAPITAL, LLC

SAOS CAPITAL, LLC

SAOS CAPITAL, LLC

Adviser Profile

As of Date	05/28/2026
Registration	SEC, Approved, 01/04/2012
ADV Location	MOUNT PLEASANT, SC, United States
Contact Info	843 xxxxxxx
Websites

AUM^*	239,116,090 41%
of that, discretionary	225,081,360 41%
Number of Employees	4
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	165,135 29%
% High Net Worth	14.26% 59%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans

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

Reported AUM

225M 193M 161M 129M 96M 64M 32M

2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

SAOS Capital, LLC (hereinafter “Saos Capital”) offers the following services to advisory clients: A. Description of Services Saos Capital participates in and sponsors a wrap fee program for certain investment management service clients. This wrap fee program allows Saos Capital to manage client accounts for a single fee that includes portfolio management services and custodial costs. The fees are payable monthly in advance and the final schedule for this program is represented below: Total Assets Under Management Annual Fee All assets for retirees .75% - 1% max All assets for non-retirees .75% - 1.5% max These fees are negotiable. Saos Capital bills based on the balance on the first day of the billing period. Clients may terminate the contract without penalty, for full refund, within five business days of signing the contract. Thereafter, clients may terminate the contract with thirty days written notice. Refunds are given on a prorated basis, with or without prior written notice, based on the number of days remaining in a month based on the termination date. The fee refunded will be the balance of the fees collected in advance minus the daily rate* times the number of days in the month up to and including the day of termination. (*The daily rate is calculated by dividing the monthly AUM fee by the number of days in the termination month). Clients

may terminate their contracts without penalty, for full refund, within 5 business days of signing the advisory contract. Advisory fees are withdrawn directly from the client’s accounts with client written authorization. B. Contribution Cost Factors The program may cost the client more or less than purchasing such services separately. There are several factors that bear upon the relative cost of the program including the cost of the services if provided separately and the trading activity in the client’s account. C. Additional Fees Clients who participate in the wrap fee program will not have to pay for transaction or trading fees. However, clients are still responsible for all other account fees; such as mutual fund fees, custodian fees, annual IRA fees to the custodian, termination fees if the account is moved to another broker, or third party adviser fees. D. Compensation of Client Participation Neither Saos Capital, nor any representatives of Saos Capital receive any additional compensation beyond advisory fees for the participation of client’s in the wrap fee program. However, compensation received may be more than what would have been received if client paid separately for investment advice, brokerage, and other services. Therefore, Saos Capital may have a financial incentive to recommend the wrap fee program to clients.