9AT: M1 ADVISORY

M1 ADVISORY

other names

M1 ADVISORY
FORZA ADVISORS GROUP LLC
M1 FINANCE
M1 ADVISORY SERVICES LLC

Adviser Profile

As of Date	04/01/2026
Registration	SEC, Approved, 08/11/2015
ADV Location	CHICAGO, IL, United States
Contact Info	312 xxxxxxx
Websites

AUM^*	633,573
of that, discretionary	0
Private Fund GAV^*	0
Avg Account Size	316,787
% High Net Worth	< 0.01% -100%
SMA’s	No
Private Funds	0

Adviser Type

- Internet adviser

Number of Employees 14 -42%

of those in investment advisory functions

Client Types

- Individuals (other than high net worth individuals)

Advisory Activities

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

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

634K 543K 453K 362K 272K 181K 91K

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

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

A. General Description of the Firm M1 Advisory Services LLC (“M1”) is an investment adviser registered with the United States Securities and Exchange Commission (“SEC”). M1 provides portfolio management services. Founded in 2015, M1, formerly known as Forza Advisors Group LLC, is a wholly owned subsidiary of M1 Holdings Inc., formerly known as M1 Holdings LLC and prior to that, Forza Financial Group LLC. M1 Holdings Inc. is a privately held company, based in Chicago, Illinois. M1 Holdings Inc. is controlled by Brian Barnes Revocable Trust. Brian Barnes, M1’s CEO, is the principal owner of M1 Holdings Inc. Additional information about M1’s services, structure and officers is provided on Part 1 of M1’s Form ADV which is available online at http://www.advisersinfo.sec.gov. Please also visit www.m1finance.com for additional information. B. Summary of M1’s Advisory Services M1 provides its clients with personalized total portfolio solutions that match their investment objectives and risk tolerance. M1’s portfolios use passive strategies and modern portfolio theory to determine each client’s asset allocation. M1 has determined optimal asset classes and the ETF strategies that most efficiently tracks those asset classes. Once a client is given their risk profile they will be recommended a total portfolio solution. M1’s clients maintain complete discretion to accept their recommended

total portfolio solution, adjust their recommended total portfolio solution, choose a different portfolio solution with different risk/return characteristics, or create their own self-directed portfolio with exchange traded securities. C. Tailored Services and Investment Restrictions M1 tailors its total portfolio solutions to each client’s individual willingness and ability to take risk. M1 gathers the Client’s financial information during initial signup and asks users take a brief risk questionnaire. The M1 considers the user’s age, financial standing, financial goals, investment knowledge, investment comfort, and risk tolerance. M1 places each user into a specified risk tranche and recommends a corresponding portfolio solution. M1 Client’s retain complete discretionary control of their account at all-times. Clients can accept their recommended total portfolio solution, adjust their recommended portfolio solution, choose another portfolio solution designated for a risk level other than their M1 risk appointment, or deny all portfolio solutions and create their own self-directed portfolio. D. Wrap Fee Programs M1 does not place Client assets into a wrap fee program. E. Assets Under Management M1 does not currently manage any assets on a discretionary nor on a nondiscretionary basis. This total is calculated using the closing U.S. market prices as of December 31, 2023.