Ownership Our principal owners are Monex Casa De Bolsa, S.A. de C.V., a financial intermediary as such term is defined in the Mexican Securities Market Law (“Ley del Mercado de Valores”). Monex Casa de Bolsa, S.A. De C.V. is directly owned by Monex Grupo Financiero, S.A. de C.V., which is directly owned by Monex, S.A.P.I. de C.V (formerly Monex, S.A.B. de C.V.). Monex, S.A.P.I. de C.V. is held by a Trust named Fideicomiso F/9846 Banco Monex SA IBM Monex Grupo Financiero. Services Offered Monex Asset Management, through our investment professionals (“Financial Advisor”), provides discretionary and nondiscretionary investment advisory and consulting services to individuals, trusts, estates and charitable and not for profit organizations. Investment advice and portfolio management services are provided on a continuing basis including the appropriate allocation of managed assets among cash, stocks, mutual funds and bonds. This selection of specific securities will provide proper diversification and help to meet the client’s stated investment objectives, although you may impose restrictions on us with respect to investing in certain securities or types and classes of securities. Investment Products Monex Asset Management is not limited to the investment products offered, but we generally offer advice on the following as well as the foreign equivalents of the following investment products:
• Equity securities (exchange-listed, over the counter, foreign issuers)
• Corporate debt securities
• Certificates of deposits
• Municipal securities
• Investment Company Securities (mutual fund shares)
• United States government securities Option contracts on securities Currencies
• Insurance Products Monex Asset Management is licensed as an insurance agency and provides analysis of and recommends the purchase and sale of certain insurance products for both advisory and non- advisory clients. Please refer to Item 10 – Other Financial Industry Activities and Affiliations for more detail. 2 | P a g e Wrap Programs Monex Asset Management does not participate in any wrap fee programs. Assets Under Management As of December 31, 2023, Monex Asset Management managed $200,926,531in client portfolio assets, $116,121,613 of which was managed on a discretionary basis and $84,804,918 in client portfolio assets

were managed on a non-discretionary basis. Retirement Accounts – DOL Disclosure We are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act of 1974 (“ERISA”) and/or the Internal Revenue Code (“Code”), as applicable, when we provide investment advice regarding portfolio assets held in an IRA, Roth IRA, Archer Medical Savings Account, a Plan covered by ERISA, or a plan described in Section 4975(e)(1)(A) of the Code (collectively referred to collectively sometimes herein as (“Retirement Accounts”). To ensure that Monex Asset Management will adhere to fiduciary norms and basic standards of fair dealing with respect to Retirement Accounts, we are required to give advice that is in the "best interest" of the retirement client. The best interest standard has two chief components, prudence and loyalty. Under the prudence standard, the advice must meet a professional standard of care and under the loyalty standard, our advice must be based on the interests of our retirement clients, rather than the potential competing financial interest of Monex Asset Management. To address the conflicts of interest with respect to our compensation, we are required to act in your best interest and not put our interest ahead of yours. To this end, 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. Education Monex Asset Management generally requires Financial Advisors to have a college degree, or a minimum four years related experience, have displayed a high degree of integrity in previous business background, have high standards of morals and ethics and be committed to providing quality investment advice. All Financial Advisors must have the required licenses for an investment adviser. 3 | P a g e Branch Offices San Diego Branch: 350 10th Avenue, Suite 1000 San Diego, CA 92101 San Antonio Branch: 18756 Stone Oak Parkway, Suite 266 San Antonio, TX 78258