9AT: GREEN ALPHA INVESTMENTS

GREEN ALPHA INVESTMENTS

other names

Revenue	{{ Info.Revenue \| formatUSD }}
Headquarters	{{ Info.Headquarters }}

Adviser Profile

As of Date	03/27/2025
Adviser Type - Large advisory firm
Number of Employees	4 -20.00%
of those in investment advisory functions	3
Registration	Colorado, Terminated, 11/24/2014
Other registrations (1)	SEC, Approved, 01/15/2013

AUM^*	244,228,477 -27.32%
of that, discretionary	184,444,011 -22.99%
Private Fund GAV^*	0
Avg Account Size	819,559 -17.57%
% High Net Worth	27.52% -16.96%
SMA’s	Yes
Private Funds	0
Contact Info	303 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Charitable organizations
- Other investment advisers

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

598M 512M 427M 341M 256M 171M 85M

2015 2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker459200101	Stock NameINTERNATIONAL BUSINESS MACHS	$ Position$5,682,199	% Position6.00%	$ Change111.00%	# Change86.00%
Stck Ticker44045A102	Stock NameHORIZON TECHNOLOGY FIN CORP	$ Position$3,379,350	% Position4.00%	$ Change29.00%	# Change24.00%
Stck Ticker11285B108	Stock NameBROOKFIELD RENEWABLE CORP	$ Position$3,497,706	% Position4.00%	$ Change-9.00%	# Change-10.00%
Stck Ticker63888U108	Stock NameNATURAL GROCERS BY VITAMIN C	$ Position$3,811,307	% Position4.00%	$ Change58.00%	# Change57.00%
Stck Ticker747525103	Stock NameQUALCOMM INC	$ Position$3,722,032	% Position4.00%	$ Change61.00%	# Change61.00%
Stck Ticker85208M102	Stock NameSPROUTS FMRS MKT INC	$ Position$3,766,697	% Position4.00%	$ Change125.00%	# Change87.00%
Stck Ticker88023B103	Stock NameTEMPUS AI INC	$ Position$2,455,947	% Position3.00%	$ Change125.00%	# Change58.00%
Stck Ticker512807306	Stock NameLAM RESEARCH CORP	$ Position$3,251,835	% Position3.00%	$ Change83.00%	# Change81.00%
Stck Ticker038222105	Stock NameAPPLIED MATLS INC	$ Position$3,185,026	% Position3.00%	$ Change75.00%	# Change96.00%
Stck Ticker032654105	Stock NameANALOG DEVICES INC	$ Position$1,521,144	% Position2.00%	$ Change31.00%	# Change38.00%

Brochure Summary

Overview

A. Green Alpha was founded in July 2007. Its principal owners are: Name Ownership % 12/31/21 Executive Team* 51% *No individual holds 25% or more of the outstanding units of Green Alpha Advisors, LLC Green Alpha offers investment advisory services to our clients in the form of separately managed accounts, and an exchange-traded fund (ETF), the AXS Green Alpha ETF (ticker: NXTE). Our portfolios are equity and bond strategies that invest primarily in exchange-listed securities, securities traded over the counter, and foreign issuers whose securities trade in the U.S. in the form of American Depository Receipts (“ADRs”). Certain portfolios may, on occasion, invest in non-U.S. equities in the form of ordinary and preferred shares traded on international exchanges. B. Green Alpha is an asset management firm, choosing equity securities to build portfolios for our clients. We do not provide financial planning services, nor do we advise clients in the selection of investments not managed by Green Alpha. C. Green Alpha offers the ability to tailor our investment advisory

services to fulfill specific client requests. On a client-by-client basis, we may allow clients to impose restrictions on investing in certain securities or types of securities. In addition, some clients request that we manage their account in a custom strategy that gives them a set of custom portfolio characteristics not otherwise available in our mutual fund or four separate account strategies described here: https://greenalphaadvisors.com/investment-portfolios/ D. Green Alpha has not and does not currently participate in any wrap fee programs. E. Client assets under management: As of February 29, 2024, Green Alpha manages $330 million in client assets on both a discretionary and non-discretionary basis. Discretionary client assets make up $225 million of assets under management, and $75 million of assets are managed on a non-discretionary basis through wealth advisory, turnkey asset management programs (TAMPs).