EMC Capital Management, LLC is a fee-based investment adviser that offers investment management services. EMC was founded in November 2013. EMC is owned by Rasool Shaik, Swatantra Jain, Ajay Jain, and Manish Jain. As of December 31, 2023, EMC managed $148,390,029 on a discretionary basis and $0 on a non-discretionary basis. Investment Management Services EMC offers investment management services performed on a discretionary basis. EMC will work with the client to determine the client's investment objectives and investor risk profile and will design a written investment policy statement. EMC uses investment and portfolio allocation software to evaluate alternative portfolio designs. EMC evaluates the client's existing investments with respect to the client's investment policy statement. EMC works with new clients to develop a plan to transition from the client's existing portfolio to the portfolio recommended by EMC. EMC will then continuously monitor the client's portfolio holdings and the overall asset allocation strategy and hold regular or as necessary review meetings with the client regarding the account. EMC will typically create a portfolio of no-load mutual funds, and may use model portfolios if the models match the client's investment policy. EMC will allocate the client's assets among various investments taking into consideration the overall risk profile selected by the client. EMC primarily recommends portfolios consisting of mutual funds and exchange traded funds (ETFs) that follow a passive asset class investment philosophy with low holdings turnover. Although purchasing individual equity securities is never a part of our recommended investment strategy, client portfolios may also include some individual equity securities if a position held over from a prior investment manager has tax implication or the client specifically requests they be retained for a personal reason. Some such assets may be held but may not be considered as part of the relationship for billing or in the IPS. Clients may impose any reasonable restrictions on EMC’s discretionary authority, including restrictions on the types of securities in which EMC may invest the client’s assets and on specific securities that the client may believe to be appropriate.

EMC may also recommend fixed income portfolios to advisory clients, which consist of managed accounts of individual bonds. EMC will request discretionary authority from advisory clients to manage fixed income portfolios, including the discretion to retain a third party fixed income manager. EMC will prepare a separate Fixed Income Investment Policy Statement for any client qualifying for separate fixed income portfolio services. Private Funds EMC acts as an investment adviser to the following private funds:  EMC Alpha Fund, LP is a Delaware limited partnership formed to achieve long- term capital appreciation by investing, under normal market conditions, in equity or equity-related securities (including, but not limited to, exchange-traded funds, equity options, equity index futures, equity index swaps and depositary receipts) of US and international companies traded on US exchanges. EMC Asset Management, LLC, a Delaware limited liability company, is the general partner of the EMC Alpha Fund.  EMC CorePLUS Fund, LP is a Delaware limited partnership which seeks to outperform the S&P 500 index over most annual periods. The Fund seeks to achieve its investment objective by investing under normal circumstances in long and short positions of equity securities primarily US common stocks. The Adviser will invest a portion of the assets in securities intended to track the performance of S&P 500 index (the “Index”). EMC CorePLUS Fund GP, LLC is the general partner of the EMC CorePLUS Fund LP. Employee Benefit Retirement Plan Services EMC also provides advisory services to participant-directed employee retirement benefit plans. EMC will analyze the plan's current investment platform, and assist the plan in creating an investment policy statement defining the types of investments to be offered and the restrictions that may be imposed. EMC will recommend investment options to achieve the plan's objectives, provide participant education meetings, and monitor the performance of the plan's investment vehicles. EMC will recommend changes in the plan's investment vehicles as may be appropriate from time to time. EMC generally will review the plan's investment vehicles and investment policy, as necessary.