9AT: GREEN ALPHA INVESTMENTS

Adviser Profile

As of Date	06/18/2026
Registration	SEC, Approved, 01/15/2013
Other registrations (1)	Colorado, Terminated, 11/24/2014
ADV Location	NIWOT, CO, United States
Contact Info	303 xxxxxxx
Websites

AUM^*	253,901,033 4%
of that, discretionary	208,101,223 13%
Number of Employees	4
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	943,870 15%
% High Net Worth	27.44% 0%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm
- An investment adviser (or subadviser) to an investment company

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

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser ULRICH INVESTMENT CONSULTANTS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.6b	#Funds-
Adviser GOLDEN K PLANS AND WEALTH MANAGEMENT A DBA OF GOLDEN K WEALTH MG	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund1.3m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.3m	AUM179.4m	#Funds1
Adviser POPULAR SECURITIES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.6b	#Funds-
Adviser WESTFULLER ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.4b	#Funds-
Adviser PARK PLACE CAPITAL CORPORATION	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM879.2m	#Funds-
Adviser HUB INVESTMENT PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM11.9b	#Funds-
Adviser FOSTER & WOOD, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM218.7m	#Funds-
Adviser WINTRUST INVESTMENTS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM14.4b	#Funds-
Adviser STANCE CAPITAL LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM354.2m	#Funds-
Adviser FOYSTON, GORDON & PAYNE INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM6.0b	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker512807306	Stock NameLAM RESEARCH CORP	$ Position$6,064,972	% Position6.00%	$ Change24.00%	# Change-1.00%
Stck Ticker459200101	Stock NameINTERNATIONAL BUSINESS MACHS	$ Position$4,895,401	% Position5.00%	$ Change-17.00%	# Change2.00%
Stck Ticker038222105	Stock NameAPPLIED MATLS INC	$ Position$4,937,916	% Position5.00%	$ Change33.00%	# Change0.00%
Stck Ticker11285B108	Stock NameBROOKFIELD RENEWABLE CORP	$ Position$4,721,130	% Position5.00%	$ Change5.00%	# Change1.00%
Stck Ticker219350105	Stock NameCORNING INC	$ Position$3,695,664	% Position4.00%	$ Change54.00%	# Change-1.00%
Stck TickerH17182108	Stock NameCRISPR THERAPEUTICS AG	$ Position$2,712,537	% Position3.00%	$ Change-7.00%	# Change2.00%
Stck Ticker007973100	Stock NameADVANCED ENERGY INDS	$ Position$3,289,506	% Position3.00%	$ Change52.00%	# Change-1.00%
Stck Ticker65290E101	Stock NameNEXTPOWER INC	$ Position$2,916,948	% Position3.00%	$ Change38.00%	# Change0.00%
Stck Ticker747525103	Stock NameQUALCOMM INC	$ Position$2,881,933	% Position3.00%	$ Change-24.00%	# Change1.00%
Stck Ticker76954A103	Stock NameRIVIAN AUTOMOTIVE INC	$ Position$1,858,434	% Position2.00%	$ Change-24.00%	# Change0.00%

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).

GREEN ALPHA INVESTMENTS

GREEN ALPHA INVESTMENTS

GREEN ALPHA ADVISORS, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

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GREEN ALPHA INVESTMENTS GREEN ALPHA INVESTMENTS GREEN ALPHA ADVISORS, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

GREEN ALPHA INVESTMENTS

GREEN ALPHA INVESTMENTS

GREEN ALPHA ADVISORS, LLC