4a: Firm Description Advisory Services & Investments, LLC dba ASI Wealth Management & Consulting Services (“ASI”) was established in February 1998 by Randy L. Miller. Our main office is located in Bend, Oregon. There are also branch locations in Medford, Oregon, Portland, Oregon and Seattle, Washington. 4a1: Principal Member Randy L. Miller, Owner and Chief Compliance Officer: Mr. Miller may be contacted by email at randy@asiwealthmanagement.com or by telephone at (541) 617-0898. 4b: Types of Advisory Services Investment Management ASI offers a variety of investment advisory services to our clients. We work with our clients to identify their investment goals and objectives as well as risk tolerance in order to create an initial portfolio allocation designed to complement the clients’ financial goals and objectives. We may create a portfolio, consisting of, but not limited to individual stocks or bonds, exchange traded funds, no-load funds and/or load-waived funds (front-end commissions will not be charged). Each portfolio will be initially designed to meet a particular investment goal, which ASI has determined to be suitable to our client’s circumstances. Once the appropriate portfolio has been determined, we will review the portfolio and rebalance the account based upon our client’s individual needs, stated goals and objectives. ASI’s strategy, generally, will be to seek to meet client investment objectives while providing clients with access to personal advisory services. Sponsored Retirement Plans At ASI, we strive to deliver innovative solutions, comprehensive consulting, and business value. We help turn hope into confidence by building retirement plans that create value—and peace of mind. Whether we create or improve your plan, our expert team provides ongoing support, plus documentation that proves effectiveness and assures oversight. We don’t just stand behind you. We’re with you and your participants, every step of the way. Our advisors have access to a broad array of investment vehicles, the latest research, and fiduciary review to assist a company with its retirement plan needs. We offer objective advice on how to structure a competitive qualified retirement plan that aligns with your business goals and cost parameters. Serving as an objective guide for plan sponsors, we help them navigate through the maze of investment options, plan design considerations, participant education, vendor resources, and more. Our services include:
• Plan Design
• Fiduciary Support
• Plan Benchmarking
• Plan Participant Education We also offering stand-alone consulting services for a variety of retirement plan structures. If we make recommendations or provide advice related to a retirement plan account or individual retirement account, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act ("ERISA") and/or

the Internal Revenue Code, as applicable, which are laws governing retirement accounts. In the event we recommend a client rollover their retirement plan assets into an account to be managed by our firm or (where applicable) recommend the purchase of a retail investment product, such a recommendation creates a conflict of interest because we will be compensated if you follow our recommendation. To manage this conflict, we operate under a special ERISA rule relating to retirement assets that requires us to act in your best interest and not put our interests ahead of yours. Under this special rule’s provisions, 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. While not always the case, a client or prospective client leaving an employer typically has the below four options regarding an existing retirement plan: 1. Retain the assets in the former employer’s plan; 2. Rollover the assets to a Traditional IRA or Roth IRA; 3. Rollover the assets to the plan of a new employer; or 4. Receive a cash distribution. Deciding which of the above options are right for you can be a complex process. For that reason, we will discuss each option after we conduct a careful analysis. Additionally, we provide a written "Retirement Advice Disclosure" to our clients to educate you so you can make a good decision. Please let us know if you did not receive the above disclosure so we can provide it to 4c: Client Tailored Relationships and Restrictions As a fiduciary, ASI always acts solely in your best interests. Your portfolio is customized based on your investment objectives. You may make requests or make suggestions regarding the investments made in your portfolio. Restrictions on trading which, in our opinion, are not in your best interest cannot be honored and if forced may result in the termination of our agreement. Similarly, you are under no obligation to act upon ASI's or associated person's recommendations. If you elect to act on any of the recommendations, you are under no obligation to effect the transaction through ASI. 4d: Wrap Fee Program ASI does not sponsor nor provide portfolio management services to a wrap fee program. 4e: Assets under Management (AUM) ASI, as of December 31, 2023, has $942,045,334 in discretionary reportable assets under management and $ 785,959,656 in non-discretionary reportable Assets under Management for a total of $1,728,004,990.