The Axos Advisory Services Multi-Manager Exchange (MMX) Platform provides the technology that allows our firm to construct tactically-managed investment portfolios utilizing multiple sub-advisors, each employing their own disciplined investment process. Our investment portfolios are exceptionally diverse, risk-mitigated, investment portfolios, not just by asset class, but by completely different approaches to making money, designed to generate consistent performance uncorrelated to major market indices.

The sub-advisory firms in our investment portfolio models include:

AXS Investments
B.Riley | Fairfax Global Markets
Catalyst
Crosspoint Capital Mgt
Earth Equity Advisors
Forum Capital Advisors
Green Alpha Advisors
Howard Capital Mgt
IDX
Kensington Asset Mgt
MBA
Model Capital Mgt
Nuveen
Ocean Park Asset Mgt
Octant Quantitative Investment Mgt
Optimus Advisory Group
Princeton Fund Advisors
Probabilities
ProfitScore
Q3 Asset Mgt
Rational
Regan Capital
Scarecrow Trading
StandPoint

Below are links to the Introduction of the new website LIBERTY for Reps and Investors AXOS Advisor Services access:

The AXOS Line of Credit (securities-based lending) Coming soon:

AXOS Securities Based Line of Credit Lending Brochure
Line of Credit Webinar Training Video

Q4 2024 Allocation Changes Summary

APEX PORTFOLIOS

Series I $50,000 minimum
Series II $5,000 minimum
Series III $500 minimum

The CPR Apex portfolios are the flagship portfolios at CPR Investments. These portfolios encapsulate what CPR Investments Inc. was founded on - challenging the Status Quo and providing middle-America (our clients) access to investment strategies that are generally only available to very affluent, wealthy investors. The use of multiple, tactically managed, separately managed account strategies into a single portfolio for our clients is one of many things that differentiates our firm from most other firms. Since tactical money managers are constantly making trades, virtually daily, the Tactical Multi-Strategy portfolios are best suited for tax-sheltered accounts (Trad or Roth IRAs, Solo K's, etc) where the volume of trades is not relevant on tax returns. These portfolios were designed for clients looking for the potential for superior returns and that desire an alternative to 'buy & hold' solutions for their portfolio(s) with the use of multiple tactical strategies for risk mitigation. The use of leverage in these portfolios allows from 1x up to 3x exposure to the major US Indices (Dow 30, S&P 500 and Nasdaq 100) in some of the underlying investment strategies while mitigating risk and volatility through the use of multiple tactically managed strategies in each portfolio (from 5 to 20 strategies in each portfolio). Max fee is 1.85% per year, 0.4625% deducted quarterly.

CPR APEX Portfolios Guide

MULTI-INDEX PLUS PORTFOLIOS

$1,000 Minimum

The Multi-Index Plus portfolios are ideal for both tax-sheltered accounts (Trad or Roth IRAs, Solo K's, etc.) or taxable accounts (although there is no tax-harvesting like is done in the Strategic Portfolios). These portfolios were designed for clients that desire a lower-cost, 'buy & hold' solution for their portfolio(s) with minimal tactical money management. The use of leverage in these portfolios allows from 0.25x up to 1.5x exposure to the major US Indices (Dow 30, S&P 500 and Nasdaq 100) while still being able to moderate volatility through the use of alternative investments such as commodities, currencies, gold, digital assets and futures. Max fee is 1.35% per year, 0.3375% deducted quarterly.

The Multi-Index Plus Tactical Blend portfolios are ideal for tax-sheltered accounts (Trad or Roth IRAs, Solo K's, etc.). The Multi-Index Plus Tactical Blend portfolios are only available as 'Growth' and 'Aggressive Growth'. These portfolios were designed for clients that desire a lower-cost, blend of 'tactical' and ''buy & hold' solution for their portfolio(s). The use of leverage in these portfolios allows from 0.25x up to 1.5x exposure to the major US Indices (S&P 500 and Nasdaq 100) while still being able to moderate volatility through the use of both tactical and alternative investments such as commodities, currencies, gold, digital assets and futures. Max fee is 1.50% per year, 0.375% deducted quarterly.

CPR Multi-Index Plus Portfolios Guide

CPR LifeCore PORTFOLIOS

$25,000 Minimum

The CPR LifeCore Portfolios were designed for clients looking mitigate market risk (lower Beta) and seek Alpha with the potential to outperform a typical buy and hold strategies with respective risk tolerance levels over full market cycles (typically 3 to 5 years). The CPR LifeCore Portfolios are ideal for both tax-sheltered accounts (Trad or Roth IRAs, Solo K's, etc) or taxable accounts (although there is no tax-harvesting like is done in the Strategic Portfolios). These portfolios were designed for clients that desire a lower-cost solution with minimal tactical money management. There is no use of leverage or digital assets in these strategies. Max fee is 1.35% per year, 0.3375% deducted quarterly.

CPR LifeCore Portfolios and MBA Portfolios October Update

CPR LifeCore Portfolios and MBA Portfolios November Update

LifeCore CONSERVATIVE

LifeCore MODERATE

LifeCore MODERATE-GROWTH

LifeCore GROWTH

LifeCore AGGRESSIVE

DIVIDEND-INCOME PORTFOLIO

$25,000 Minimum

The Dividend-Income portfolio is ideal for clients that desire monthly or quarterly dividend income that is generated from their investments. The underlying strategies used in the Dividend-Income Portfolios are primarily designed to generate dividend income, growth is secondary. This portfolio does not use of leverage, digital assets or tactical money management and while this portfolio could be used in an IRA, it is generally intended for use in a taxable account. Max fee is 1.35% per year, 0.3375% deducted quarterly.

BOND ALTERNATIVE PORTFOLIO

$1,000 Minimum

The Bond Alternative portfolio is ideal for clients that desire a very conservative investment portfolio. Our Bond Alternative portfolio integrates multiple managers and strategies. While it primarily consists of bond holdings, it also includes various investment alternatives designed to enhance stability and minimize volatility. This approach intends to offer greater diversification compared to a traditional bond portfolio. This portfolio does not use of leverage, digital assets or tactical money management and while this portfolio is suitable for both tax-qualified and taxable account. Max fee is 1.35% per year, 0.3375% deducted quarterly.

AXS Investments

B. Riley Wealth Portfolio Advisors

Catalyst/Rational Funds

Crosspoint Capital Management

Earth Equity Advisors

Forum

Green Alpha Advisors, LLC

Hardee Capital Management LLC

Howard Capital Management

iDX

Kensington Asset Management

MBA Strategies

MBA STRATEGIES

($25,000 Minimum)

The MBA strategies are ideal for both tax-sheltered accounts (Trad or Roth IRAs, Solo K's, etc) or taxable accounts (although there is no tax-harvesting like is done in the Strategic Portfolios). These portfolios were designed for clients that desire a lower-cost solution with minimal tactical money management. There is no use of leverage or digital assets in these strategies. Max fee is 1.35% per year, 0.3375% deducted quarterly.

MBA GROWTH STRATEGY

The MBA Growth Strategy is designed for clients looking to mitigate market risk (lower Beta) and seek Alpha with the potential to outperform the S&P 500 Index over full market cycles (typically 3 to 5 years)

MBA DIVIDEND-INCOME STRATEGY

Is designed to be a high quality, high dividend, high dividend growth portfolio with at least the same capital growth opportunity as the S&P 500 ex the dividends. The individual companies in the portfolio are meant to be held long-term so the investor has the opportunity to realize the dividend growth we’ve built in to the portfolio. We use the ETF holding to manage long-term risk by applying MBA risk management signals, trading only the ETF when we have buy and sell signals. We do not trade the individual companies, reducing potential tax consequences of realizing short-and long-term capital gains.

Portfolio construction and mechanics:

40% Schwab US Dividend Equity ETF (SCHD) – a low cost, highly rated (Morningstar) ETF
60% Individual dividend paying companies

Company selection criteria includes:

current dividend yield at least 50% higher than the S&P 500 dividend yield
3-yr dividend growth rate at least equal to the S&P 500 dividend growth rate
3-yr relative strength v S&P 500 at least 1.00
3-yr Beta generally less than 1
Strong history of rising dividends
Industry and sector for diversification

Once we have selected the initial portfolio, our intention is to maintain the holdings long term. Possible reasons for removing a portfolio position include:

A significant reduction of the current dividend
A strategic re-allocation to another sector
Identification of a better overall long-term prospect in the same or very similar sector.

Rebalancing is not automatic or calendar based. Generally, we will consider re-balancing an individual holding once it has grown to 25% above the original allocation.

MBA TECHNOLOGY STRATEGY

CPR LifeCore Portfolios and MBA Portfolios August Update

CPR LifeCore Portfolios and MBA Portfolios October Update

Model Captial Mgt

Ocean Park Asset Management

Octant Quantitative Investment Management

Optimus Advisory Group

Princeton Fund Advisors

Probabilities Fund Management, LLC

ProfitScore Capital Management, LLC

Q3 Asset Management

Regan Capital

Scarecrow Trading

Standpoint

AXS Investments

B. Riley (Fairfax) Wealth Portfolio Advisors

Catalyst/Rational Funds

CATALYST / RATIONAL

Joe McCart (646) 757-8066
Bill Dorough (248) 921-8549

Catalyst Alternative/Hedged Strategies

Our alternative/hedged strategies typically seek to add alpha, reduce correlation to the market indexes and reduce downside risk. These strategies tend to fit in as an alternative allocation.

Catalyst Equity-Orientated Strategies

Our equity strategies typically seek to add alpha by implementing distinct investment strategies. These strategies can serve as a core or complement a core equity portfolio.

The Catalyst/Exceed Defined Shield Fund

Seeks to provide a defined outcome, structured return strategy that offers controlled exposure to the S&P 500 Index, providing upside returns to a cap and limiting downside and volatility.

Tail Risk Hedge The Fund seeks to mitigate losses when the S&P 500 declines by more than 12.5%.

Seeks Lower Volatility The Fund seeks to provide returns that are correlated with, but less volatile than, those of the S&P 500 Index and mitigate losses when the S&P 500 declines.

Keeps Focus on the Upside The fund seeks upside participation to a cap. Net results is market exposure without the extreme market ups and downs.

Rational Hedged Return Fund

The Fund invests primarily in long and short call and put options on futures contracts on the S&P 500 Index and in cash, and cash equivalents. The Fund’s investment objective is to seek total return consisting of long-term capital appreciation and income. The Fund seeks to achieve its investment objective in three ways: (1) Premium Collection – the Fund collects premiums on options it sells; (2) Volatility Trading – the Fund may enter into positions designed to hedge or profit from either an increase or a decrease in Index volatility; and (3) Trend Following – the Fund may increase or decrease the balance of puts and calls based on trending market direction. The Fund is designed to produce returns that are not correlated with equity market returns. The Fund employs strict risk management procedures, supported by both technical and fundamental analysis, that is intended to provide consistency of returns and to mitigate the extent of losses.

Important Risk Information Investing in the Fund carries certain risks. The value of the Fund may decrease in response to the activities and financial prospects of an individual security in the Fund’s portfolio. There are risks associated with the sale and purchase of call and put options. As the buyer of a put option, the Fund assumes the risk of a rise in the market price of the underlying security above the exercise price of the option which will cause a loss of the premium paid for the option. As a seller (writer) of a put option, the Fund will lose money if the value of the security falls below the strike price. The Fund may experience losses that exceed those experienced by funds that do not use futures contracts, options and hedging strategies.

Crosspoint Capital Management

Earth Equity Advisors

Forum

Green Alpha Advisors, LLC

Betsy Moszeter, Partner, COO

GREEN ALPHA ADVISORS
Main: (303) 993-7856
Betsy: (720) 716-4553

ADV Part 2A - 2024 -03
Form CRS 2024-03

Green Alpha - Investing for Zero-Risk Economy

Real risks related to climate change, resource degradation and scarcity, and widening inequality are rapidly materializing

Innovative companies addressing systemic risks are leading long-term economic growth

Investing in those companies is our best opportunity to preserve and grow clients’ capital

Quality, Long-only Equity Portfolios

We only invest in companies whose products and services address the global economy’s greatest system-level risks
Corporate management teams that prudently re-invest free cash flows while continuing to innovate
Emphasis on value; portfolio constituents bought at the right price for expected growth prospects
Diversified by industry, geography, and market cap size
No style drift since inception, always fossil fuel free
Low turnover
Managed by a disciplined Investment Team with a long, successful track record of deep research and stock picking

About Us - Green Alpha InvestmentsGreen Alpha Investments

ESG Guidelines

When discussing sustainability-oriented investing, it’s conventional to talk about environmental, social, and governance (“ESG”) rating systems and guidelines.

The opportunity to create high-impact, alpha-generating public equity portfolios exists when the research process is intentionally designed to apply impactful ESG criteria in the appropriate order, and solely to companies providing solutions to system-level risks. Unfortunately, many ESG investing processes merely append ESG variables to the end of an existing process. Green Alpha’s Executive Team members each has firsthand experience at prior firms with the limitations of those methods, so they work together to solve for typical ESG deficiencies by evaluating material variables at every step in the investment process, with the most essential variables evaluated first rather than last.

We avoid calling our approach “ESG” and instead trademarked Investing in the Next Economy to describe to our research methodologies, because we believe that many ESG investment systems miss critical variables and do not appropriately prioritize research processes in the optimal order to result in portfolios that create material impact. However, we strive to operate as transparently as possible and know that some investors want insight into the environmental, social, and governance variables we consider to be material.

Hardee Capital Management LLC

Sidney Hardee, Managing Partner

Sidney Hardee is the Managing Partner of Hardee Brothers, LLC and Global Investment Advisor for the Probabilities Fund, LLC. He has a broad base of experience in global investing,derivatives research, quantitative analysis, and portfolio management.

Sidney is a former Trading Manager at the Bank of NT Butterfield in Bermuda where he ledtheir fixed Income and derivatives trading initiatives. He began his career as a Market Analyst at Salomon Brothers focused on European Bond Markets. Later he joined Lehman Brothers inboth New York and London as a Bond Trader. He was also a Vice President in both the CreditMarkets Trading and Global Rates Strategy groups at JPMorgan.

A Chartered Financial Analyst (CFA), Sidney is a member of the Alternative Investments committee and the Performance and Risk committee of the CFA Society of New York (CFANY).He is a former member of the United States Investment Performance Committee (USIPC) andcurrent member of the Global Promotions committee for the Global Investment PerformanceStandards (GIPS). He is also a member of the Board of Advisory for the Master of ScienceProgram in Financial Risk Management at the University of Connecticut School of Business. Heholds a B.A. in Economics and Mathematics from Yale University and holds a M.S. in AppliedStatistics from Columbia University

HARDEE CAPITAL MANAGEMENT LLC
Main: (212) 836-4317
Sidney Hardee: (917) 572-2664

ADV Part 2A
Form CRS

Who We Are

Hardee Brothers is a global, quantitative investment firm — we use statistical and mathematical models to analyze the behavior of stocks, commodities, currencies and fixed income. The rigor of our quantitative analysis is what differentiates us. More than 7500 assets are evaluated in order to develop our portfolio of approximately 110 positions. Our Fund is a focused, opportunistic combination of liquid strategies blended together in a tested quantitative framework and actively managed by our team of investment professionals who apply 60+ years of combined investment industry experience in:

Fundamental economic analysis
Tactical and strategic trading
Technical trend-following and momentum trading

Hardee Brothers is a global, quantitative investment firm — we use statistical and mathematical models to analyze the behavior of stocks, commodities, currencies and fixed income.

The rigor of our quantitative analysis is what differentiates us. More than 7500 assets are evaluated in order to develop our portfolio of approximately 110 positions.

Our Fund is a focused, opportunistic combination of liquid strategies blended together in a tested quantitative framework and actively managed by our team of investment professionals who apply 60+ years of combined investment industry experience in:

Fundamental economic analysis
Tactical and strategic trading
Technical trend-following and momentum trading

Overview: The Quantitative Global Macro Fund consists of 4 core (sub) strategies blended into a single framework using quantitative methodologies and economic analysis. We aim to invest the fund's capital equally across the core strategies, however we may need to adjust allocations on a discretionary basis, according to marketing conditions and quantitative methods. The fund applies active risk management and active portfolio performance monitoring.

Core Values

COLLABORATION

Our investment program thrives when we recognize each other's strengths and share ideas. We problem solve and evolve together, helping and supporting each other to reach our collective goal.

ENTREPRENEURSHIP

To win in life, having an entrepreneurial spirit is essential. This means being able to create, to face challenges and overcome them, to visualize opportunities and identify risks.

DISCIPLINE

We are laser-focused on quantitative analysis, macroeconomics and specific investment trends in order to identify the most optimal investment opportunities.

INNOVATION

Innovation is central to the continuous development of our investment program and our organization. We continuously evolve and improve our methods.

Certain Statements Included Herein, Including, Without Limitation, Statements Regarding Fund Management, Quantitative Framework, And Statements As To The Firm’s Beliefs, Expectations, And/Or Opinions Of The Reliability Of Such Methodologies Are Forward Looking Statements Within The Meaning Of Section 27A Of The Securities Act Of 1933 (The “Securities Act”) And Section 21E Of The Securities Exchange Act Of 1934 (The “Exchange 4 Act”) And Are Subject To Risks And Uncertainties. The Risks Discussed Herein And Throughout This Website Could Cause Actual Results And Developments To Be Materially Different From Those Expressed In Or Implied By Such Forward-Looking Statements. Accordingly, The Information In This Website Cannot Be Construed As To Be Guaranteed And Hardee Brothers Makes No Guarantee To Implement Or Pursue Any Specific Framework Or Methodology Or As To The Effectiveness Of Any Framework Or Methodology.

Howard Capital Management

iDX

Ben McMillan, CIO Drew Acocella, VP

iDX
(800) 403-4349
Ben jacobson (951) 541-3959
Jonathan Corcoran (480) 272-5979

Schedule a Meeting
A Fiduciary's Guide to Bitcoin & Blockchain
iDX Risk-Managed Bitcoin Index

A DIGITAL ASSETS PEDIGREE

In the developing world of blockchain technology, we believe that a quantitative, data driven approach is the most prudent way to navigate the evolving landscape.

We approach the digital assets markets through this lens and build robust solutions for the asset class by optimizing for Risk Mitigation, NOT Return Enhancement.

At IDX we are focused on developing the world’s first family of Risk-Managed Digital Assets Solutions that make it simple for fiduciaries and investors to participate in the asset class.

IDX OVER THE YEARS

A brief history of our digital asset experience

2011 First Purchased Bitcoin

After two years of due diligence, IDX’s CIO purchased Bitcoin for the first time

2013 Launched Bitcoin Nodes

In the summer of 2013 our research team launched two Bitcoin nodes to begin analyzing large datasets in the BTC economy (i.e. on-chain analytics)
2019 Began Managing Outside Capital
As career-long Quants we sought to apply our rules-based insights to Bitcoin via the IDX Tactical Bitcoin SMAs and began managing institutional and advisory capital

WHAT IDX BELIEVES IN
Volatility Can Be Favorable, But Not Without Downside Protection

Since Bitcoin’s inception, the growth of the asset class has only been rivaled by that of the internet and the “Dot Com” era. So, why have fiduciaries and professional investors approached the asset class with trepidation? Following our conversations with hundreds of financial advisors, family offices, and institutions, we’ve identified a pattern; downside volatility and principal protection are rarely a focus within the community of early adopters and practitioners.

Simple Access to Digital Assets for Fiduciaries and Wealth Managers

We began managing outside capital in the form of Separately Managed Accounts in 2019 with a dedicated focus on Risk-Mitigation, NOT Return Enhancement. Over time, the regulatory landscape has matured and the instruments available for gaining exposure to the asset class have evolved for the better. From our initial SMAs for fiduciaries, we created Risk-Managed Digital Asset Private Placements for accredited investors and institutions for Bitcoin, Ethereum, and DeFi. Now, we are proud to bring the first Risk-Focused US Mutual Fund to market, the IDX Risk-Managed Bitcoin Strategy Fund (BTIDX).

Constant Education and Research for a Rapidly Evolving Space

Similar to the ‘Internet Boom’ in the late 90s and early 2000s, digital assets have been subject to Moore’s Law, with new developments and improvements in technology (protocols) happening on a daily basis. Our research and investment teams are deeply involved in blockchain technology, evaluating our internally managed data (nodes), auditing the source code (smart contracts) of protocols, and participating in the ‘prudent’ development of the ecosystem. The fiduciaries who partner with IDX are able to benefit from these insights, and intelligently participate in the growth of the industry.

WHY DOES IT MAKE SENSE TO OWN (BTIDX)?

The IDX Risk-Managed Bitcoin Strategy Fund (BTIDX) seeks to Harvest the Volatility of the asset class via a rules-based, risk-managed approach to owning CME Bitcoin Futures and publicly traded Bitcoin Industry companies.

The IDX Risk-Managed Bitcoin Strategy Fund (BTIDX) seeks to mitigate the risk-of-loss (downside capture) relative to a long-only (passive) exposure to the asset class.

The IDX Risk-Managed Bitcoin Strategy Fund (BTIDX) is a US Mutual Fund regulated by the US Securities and Exchange Commission, and unlike owning Bitcoin (BTC) directly, the IDX Risk-Managed Bitcoin Strategy Fund (BTIDX) can be owned in US brokerage accounts and US retirement accounts held at US custodians.

FREQUENCY OF DRAWDOWNS:

In traditional asset classes a “Bear” market is classically defined as a 20% or greater decline from recent highs amid widespread pessimism and negative sentiment. Many investors are surprised to learn that Bitcoin has commonly exceeded bear market territory, as classically defined, several times per annum since its inception in 2009. In addition to the relative frequency of bear market drawdowns, as compared against traditional asset classes (i.e gold, real estate, stocks and bonds, the severity of drawdown has exceeded 50% and even 80% thresholds several times during its existence.

HOW IT WORKS

The Fund’s manager, IDX, believes that the IDX Risk-Managed Bitcoin Strategy may provide investors with total returns over time, while reducing the volatility and the large drawdowns associated with passively owning CME Bitcoin Futures. Historical volatility is not necessarily indicative of future volatility, and therefore changes in market conditions, and other factors, might result in the actual realized volatility and drawdowns of the IDX Risk-Managed Bitcoin Strategy Fund (the “Fund”) for any particular period to be materially higher. The return of the Fund for any given period might be materially different than the returns of Bitcoin or CME Bitcoin Futures depending on the allocation decisions made by the Fund’s manager in its efforts to implement the Risk-Managed Strategy.

IN PERIODS OF WANING BITCOIN MOMENTUM, OUR SIGNALS SEEK TO AVOID PERIODS OF "UNCOMPENSATED RISK" AND REDUCES EXPOSURE

IN PERIODS OF POSITIVE, INCREASING BITCOIN MOMENTUM, OUR SIGNALS SEEK TO PARTICIPATE IN PERIODS OF "COMPENSATED RISK", AND INCREASES EXPOSURE

Kensington Asset Management

Model Capital Mgt

Ocean Park Asset Management

Dr Kenneth Sleeper, MBA David C Wright, JD

OCEAN PARK ASSET MANAGEMENT
Advisor Help Desk: (800) 729-1467
National Sales Desk: (844) 727-1813

Find Your Representative

Ocean Park - Conservative Allocation Sequence of Returns

2023 ADV Part 2 Brochure

Outcomes Delivered by Discipline

Since 1988, Ocean Park’s goals have been to help retirees and other conservative investors limit downside risk and grow their wealth. Through the years, Ocean Park has remained committed to a truly tactical, quantitative, rules-based investment approach with the objectives of limiting downside risk and producing returns that a conservative investor would deem satisfying. Using decades of strategic research and our rules-based disciplines, we strive to help advisors and their clients meet their investment goals.

Our Disciplined Process:

When to Buy – Quantitative, Rules-based
Our truly tactical rules-based investment disciplines only buy when our decision rules show an uptrend has begun or is in progress. We don’t just look at share prices, but use exponential moving averages to help drive our decisions.

We buy only when our decision rules show an uptrend has begun or is in progress.
Once a given asset class | sector begins an uptrend that is adequate to generate a “Buy” signal under our proprietary discipline, we analyze all mutual funds and ETFs in that asset class | sector to determine which to buy.
“Buy” signals are quantitative – and the discipline is the contrary of our trailing stops for “Sell” signals.

We use an extra moving average for a Buy, because we want more evidence that a new uptrend may have started for us to put money into risk, than to take money out of risk (Sell signal).

What to Buy – The Most Complex Question

As part of our risk-mitigation discipline, we give preference to asset classes/sectors with low volatility. Our trailing stop bands will be tighter thus when the trend reverses from up to down, we give back less.
When there are multiple asset classes/sectors in uptrend, preference is given to those that are not highly correlated to each other, or the overall portfolio.

When to Sell – Quantitative, Rules-based

We treat a Sell signal as a mandate (we sell to prevent any possibility of further damage to the account). A “Sell” signal occurs when the price rises below the recent high of the lower band.

We monitor and review our trailing-stop-loss discipline daily for every holding.
When the price of a holding declines below the trailing-stop (lower band), we sell, and move temporarily to cash.
Our trailing-stops are completely quantitative and are proportionate to the historic volatility of each asset class/sector.
Our stop-loss discipline limits the impact of any sustained decline on the overall portfolio.

Octant Quantitative Investment Management

Michael J Thornton David Holley

OCTANT QUANTITATIVE INVESTMENT MANAGEMENT
(307) 201-6275 Dave Holley or Michael Thornton

Octant ADV Part 2A Amendment - (02-10-2025)
Octant ADV Part 2B - David Taylor Holley (2025)
Octant ADV Part 2B - Michael Thornton (2025)
Octant ADV Part 2B - Evan D. Holley (2025)

Octant Quantitative Investment Management LLC (“Octant”) is an innovative investment management firm that offers quantitative, systematic and research-based investment strategies to qualified clients including: foundations, family offices, high net worth individuals and other institutional investors.

We seek to assist our clients in achieving absolute, double-digit returns on an annual or multi-annual basis.

Our strategies have been developed and historically tested in an effort to generate attractive returns even during years of significant market losses. Octant’s strategies are actively managed and are based on investor behavioral and market pricing patterns that have historically generated strong, long-term returns, while reducing downside risk.

Octant’s experienced professionals have a singular focus on our clients and the pursuit of attractive investment strategies. We measure our performance not based on short-term investment gains or losses, but on the long-term
success of our clients and our investment strategies.

Octant creates strategies that are actively managed using a portfolio of algorithms that are created in an effort to exploit historical investor behavioral and market pricing patterns. These algorithms use current and recent market data to make daily adjustments to the portfolio based on the long-term, historical results of making similar adjustments in similar market circumstances.

Octant seeks to identify and profit from these historical investor behavioral and market pricing patterns by quantifying these patterns in a portfolio of proprietary algorithms.

Octant utilizes this portfolio of algorithms to dynamically, tactically and actively adjust its positions.

Optimus Advisory Group

Princeton Fund Advisors

PRINCETON FUND ADVISORS
(888) 868-9501
Aaron Berman (617) 872-1121

Greg Anderson, Managing Member

Prior to founding Princeton Fund Advisors, LLC and its affiliated entities, Mr. Anderson was a Senior Vice President and Managing Director of Investment Manager Search, Evaluation, and Due Diligence at Portfolio Management Consultants, Inc. Mr. Anderson was previously employed with Deloitte & Touche where he specialized in the areas of estate planning, health care and non-profit organizations, and tax and personal finance planning for high net worth individuals. Mr. Anderson holds a B.A. degree from Hamline University in Minnesota and a J.D. from the University of Minnesota School of Law. Mr. Anderson is a Certified Public Accountant (inactive).

John Sabre, Managing Member

Prior to founding Princeton Fund Advisors, LLC and its affiliated entities, Mr. Sabre was a Senior Managing Director at Bear Stearns & Co. and Head of the Mezzanine Capital Group. Mr. Sabre previously served as President of First Dominion Capital, which managed $3.0 billion of assets and is now owned by Credit Suisse First Boston. Prior to his position at First Dominion Capital, Mr. Sabre was a Managing Director and founding partner of Indosuez Capital, the merchant banking division of Credit Agricole Indosuez. Mr. Sabre holds a B.S. degree from the Carlson School at the University of Minnesota and an M.B.A. degree from the Wharton School at the University of Pennsylvania

Zachary Slater, Senior Vice President, Portfolio Strategy

Mr. Slater joined Mount Yale and its affiliated entities in 2011 to conduct and oversee research on new investment opportunities. His experience includes evaluating and monitoring traditional, alternative and private investment strategies. Additionally, he has experience transitioning strategies into different investment vehicles. Mr. Slater is responsible for sourcing new managers, conducting due diligence on potential managers and ongoing monitoring of current managers and investments. He holds a B.S. from the Daniels College of Business at the University of Denver.

INVESTMENT APPROACH

The Fund seeks Capital Appreciation

The Fund's goal is to collect small amounts of premium each week by selling put options on the S&P 500 (SPX) that have a one week time frame to expiration.

Seeking to limit risk, the Fund will purchase a put option on the same S&P 500 (SPX) contract with the same terms other than the strike price.

The Fund's goal is to deliver compelling, non-correlated absolute returns.

Probabilities Fund Management LLC

ProfitScore Capital Management LLC

Q3 Asset Management

Regan Capital

Skyler Weinand Chris Hall

REGAN CAPITAL
Dave Rabin (949) 423-9334

Skyler Weinand, CFA – 21 years of investment experience

Managing Partner

Prior to forming the Fund in August 2011, Mr. Weinand was head of residential and consumer asset-backed (ABS) securities trading at Cantor Fitzgerald from July 2007 to March 2011 where he generated in excess of $40mm in revenue per year off of a $15mm balance sheet. Prior to that, Mr. Weinand was responsible for trading a $2+ billion mortgage-backed securities (MBS) portfolio at Sit Investment Associates from July 2005 to June 2007. From 2001 to 2005 Mr. Weinand was employed with GMAC-RFC, where he was responsible for portfolio valuation on a $1 billion MBS subordinate book, structuring CDOs and structuring the first re-performing securitizations to come to market. Mr. Weinand is a graduate of the Carlson School of Management at the University of Minnesota with Bachelors’ of Science Degrees in Finance and Management Information Systems.

Chris Hall – 20 years of investment experience

Senior Portfolio Manager

Prior to joining Regan in June 2013, Mr. Hall was Partner and Co-Head of Sales at Auriga USA, LLC, a broker-dealer located in New York City and a Director of Fixed Income Sales at KeyBanc Capital Markets, focused on selling residential and asset-backed securities to money managers, hedge funds and insurance companies. From 2005-2008, Chris was Vice President of Mortgage Derivatives Institutional Trading at Cantor Fitzgerald. Chris started his career at Merrill Lynch & Co in 2002. Mr. Hall is a graduate of Williams College, with a Bachelor of Arts in Economics.

About Regan Capital

Founded in 2011 in Dallas, Texas, Regan Capital, LLC (“Regan”) is an S.E.C.-Registered Investment Adviser. The registration does not imply a certain level of skill or training. We focus on senior, well-structured, collateralized securities that provide capital preservation and competitive risk-adjusted returns through a commingled or separate account structure.

Regan’s target Investor base includes:

Endowments and Foundations
Banks and Insurance Companies
Corporate and Public Pensions Plans
Family Offices
High Net Worth Individuals
Registered Investment Advisors

Scarecrow Trading

Len Fox, Founder Ben Fox, Vice President/CCO

Len Fox is the CEO and founder of Scarecrow Trading Inc. He is responsible for signal development and market investment strategies while also designing proprietary market positioning systems. These systems are used to optimize growth opportunities and mitigate risks for clients. Several money management firms currently rely on Len’s expertise to direct their clients’ assets. Len holds an MBA from Regis University and is a U.S. Army Veteran who previously worked in various management positions at AT&T before starting Scarecrow Trading, Inc. in 2003. His signal strategies consistently perform in the top 10% over time, and he has also successfully served as a market consultant for various firms in implementing his strategies in various portfolio configurations throughout the industry. He is an active member of the National Association of Active Investment Managers (NAAIM) and has earned recognition as a NAAIM TREND SETTER by the organization.

Ben Fox is the expert in charge of managing and maintaining the Scarecrow Trading strategies. He officially joined the Scarecrow Trading team in 2014, and his role includes assisting advisors in understanding the Scarecrow strategies. Ben’s portfolio also includes the responsibility of Chief Compliance Officer for Scarecrow Trading, where he works alongside compliance consultant, Greg Syler. Ben holds a Baccalaureate degree from Patten University in Oakland, California, and has a coveted Series 65 designation. With service to the United States Air Force Reserve as a veteran, his accomplishments in the financial industry extend to his participation as an active member of the National Association of Active Investment Managers (NAAIM), consistently serving on multiple committees.

Ben currently resides in Cottage Grove, Minnesota, with his wife, son, and their dog. Ben enjoys playing strategic board and card games, cheering for his favorite sports teams, the Denver Broncos and Minnesota Twins, and competing with people worldwide on his Peloton.

SCARECROW TRADING
Len Fox (866) 738-1128
Ben Fox (631) 316-5749

Scarecrow Trading - ADV Part 2A - 2B
Privacy Notice Annual Udpate 1.4.19

Scarecrow - An Interview with Len Fox
Scarecrow MoniResearch Newsletter Including How Scarecrow Got its Name
Scarecrow Importance of Actual Returns - Theta-Research

WHAT WE DO

At Scarecrow Trading, we understand the importance of keeping an eye on the market and its subtle movements. We believe that every day brings with it new opportunities to invest and grow your assets. Our algorithmic programs are used every day, with a commitment to update all of our market intelligence programs and analyze the latest trends in the stock market. This ensures that we are always in the best position to make informed investment decisions on behalf of our clients and that we can help them grow their accounts as effectively as possible.

Our trading strategy surpassed market expectations. We have a rigorous approach founded on hard work, data analytics and an unyielding commitment to beating the market. We've proceeded to beat the market 13 out of the 18 years. We Not Only Beat It, We Slay It! Our Proof Is In the Numbers:

13 Years Ahead of The S&P 500

25+ Avg Percent Gross Annual Performance

365 Days a Year We Watch Your Investments

Get To Know Len Fox

Since Len Fox first brought his Scarecrow investment strategies to Theta Investment ..

How'd We Get Our Name?

Their colorful name notwithstanding, Scarecrow Trading's one ye..

GIPS Compliance Letter 2022

Independent Verifier’s Report on GIPS® Compliance Scarecr.ow Trading Inc. Savage, Min..

Importance of Actual Returns

Everyone is familiar with the old Chinese proverb saying, “A journey of a thousand miles begins with a single step..

Videos

Select any of the below videos to learn more about our strategies Crow Chaser and High 5.

Crow Chaser Strategy video

High 5 Strategy video

How We Make Decisions on Market Positions

Standpoint

Eric Crittenden Shawn Serikov

Eric has over 20 years of experience designing and managing investment strategies, with an expertise in systematic investing for mutual funds and hedge funds. Eric plays an active role in the firm’s research, portfolio management, product innovation, business strategy, and client facing activities.

Shawn is the lead developer and has programmed many of the key components of the investment strategies. With over 20 years of risk management and systematic investing experience, Shawn develops and maintains much of the technology behind the investment operations and software at Standpoint.

STANDPOINT
Eric Crittenden (866) 738-1128
Matt Kaplan (631) 316-5749

Standpoint Fund Brochure

The Standpoint Multi-Asset Fund utilizes an all-weather approach to investment management. The goal of the Fund is to provide investors with stable returns in a wide range of potential economic conditions, specifically market conditions that have historically been difficult for traditional equity and bond portfolios. To achieve this, the Fund seeks diversification across geographic regions, independent asset classes, and complementary investment strategies.

GLOBAL EQUITIES

Market-cap weighted equity positions with active risk management designed to deliver equity market exposure to developed countries.

COMMODITIES & CURRENCIES

Investments in commodities and currencies have the potential to add value to the portfolio during periods of inflation or deflation.

FIXED INCOME

Fixed income holdings seek to enhance returns and act as a risk reducer in a variety of market conditions.

REASONS TO INVEST

INCREASED DIVERSIFICATION

An all-weather approach can diversify a portfolio against over-reliance on traditional equity and fixed income investments and prepare investors for a wide range of market environments.

INTELLIGENTLY PACKAGED

The Multi-Asset Fund was developed with the investor top of mind; investing in a low fee, tax efficient, all-weather portfolio can enhance investor results.

A DESIRED OUTCOME

An all-weather approach captures returns from multiple asset classes potentially allowing for low volatility returns that can help investors stay invested for the long term.

Absolute Capital

ABSOLUTE CAPITAL
(888) 388-8303 Brenden Gebben, MBA, CIMA, Managing Director & CEO

Workplace Investment Navigator (WIN) Platform - explainer video
Absolute Capital WIN Brochure
Marketing Materials
Employers in the Michigan region that Absolute Capital can manager their plan pdf
Request Proposal
Submit Back Office Butler
Check a Plan for Pre-Rollover Management
Request Account Service

We manage individual participant 401(k), 403(b) and 457s accounts directly. No rollover. No break in service. While the client is still working.

Expand your offerings with your clients. Explore significant prospecting potential. Unlock the multi-trillion dollar market.

The Opportunity

Partner with Absolute Capital to offer money management for your clients’ workplace retirement accounts...while they are still employed. Account types include 401(k), 403(b), 457.

The assets stay in the plan

The assets receive full time tactical management

You earn fee revenue on these assets now

Fees come directly out of the account

You don't have to be rep of record on the plan

The Value Proposition

Add Full-Time Professional Management

Full-time, professional tactical management replaces many employees' own "once and done" allocation decision.

Incorporate into Overall Financial Plan

This core investment asset is now a part of the client’s overall financial plan. You receive data on account for ease of reporting.

Expand Your Business with Pre-Retirees

Deepen existing relationships and build new client relationships by providing a solution for clients’ retirement accounts while they are still working.

Getting Started

Start with your clients

Where do they work? How much time do they have to manage their own retirement account? Do they know that they can access full-time tactical management?

CHECK A PLAN

Find plans in your area to manage

Absolute Capital can do all the research for you. Then, introduce this management offering to employees through word of mouth, mail or social media

CHECK AN AREA

Don't wait for the rollover!

Join Absolute Capital in providing management to workplace retirement accounts today.

WHY ABSOLUTE CAPITAL?

Advisors Capital Management, LLC

ASSET-MARK, INC

Cantor Fitzgerald Investment Advisors

CMG Capital Management Group

Desert Rose Capital Management

Flexible Plan Investments, Ltd.

FTJ Fundchoice

ITS ASSET MANAGEMENT

MEASURED RISK PORTFOLIO

MEEDER INVESTMENT MANAGEMENT

NUVEEN

The Pacific Financial Group, Inc

Potomac Fund Management

Q3 ASSET MANAGEMENT

NUVEEN 529 PLAN (800) 752-8700

CPR Investments has a selling agreement in place with the Nuveen MI529 Advisor Plan. When you open the account, as a fee-based advisor, all sales charges are waived, so your client will not be charged any sales charges (as they are waived). This is a service we provide at no cost as CPR Investments Inc. cannot fee deduct directly from a 529 plan sponsor. Applications, brochures and sales literature are available on their website at https://www.mi529advisor.com. In addition to Nuveen's paperwork, you must also complete the appropriate CPR Investments Asset under management contract.

Note: The Nuveen 529 College Savings Plan is a Michigan sponsored plan and as such, Michigan residents may be able to State tax-deduct contributions to the plan. Residents of other States may not be able to State tax-deduct contributions. No plan offers Federal tax-deductions on contributions. All 529 Plan distributions come out Federal Income Tax Exempt if used for approved education expenses. See the Nuveen 529 Plan website for full details.

Nuveen is based in Chicago. Nuveen Securities, LLC, is a subsidiary of Nuveen, LLC.

Nuveen has $973 billion in assets under management as of 30 Jun 2018 and ranks among the 15 largest asset managers in the world.

TIAA-CREF Tuition Financing, Inc. (TFI) was one of the first program managers to enter the 529 college savings plan market, and we’re still at the head of the class with nearly 20 years of program management experience.

TFI administers 9 state plans totaling over $24 billion in assets across 1.1 million accounts.

The MI 529 Advisor Plan was rebuilt from the ground up to offer a best-in-class college saving solution for financial advisors to use with clients.

Our Investment Offerings

Advisor Info

APEX PORTFOLIOS

APEX PORTFOLIOS:

APEX CONSERVATIVE I

APEX CONSERVATIVE II

APEX CONSERVATIVE III

APEX PORTFOLIOS:

APEX MODERATE I

APEX MODERATE II

APEX MODERATE III

APEX PORTFOLIOS:

APEX MODERATE-GROWTH I

APEX MODERATE-GROWTH II

APEX MODERATE-GROWTH III

APEX PORTFOLIOS:

APEX GROWTH I

APEX GROWTH II

APEX GROWTH III

APEX PORTFOLIOS:

APEX AGGRESSIVE GROWTH I

APEX AGGRESSIVE GROWTH II

APEX AGGRESSIVE GROWTH III

MULTI-INDEX PLUS PORTFOLIOS

MULTI-INDEX PLUS PORTFOLIOS:

MULTI-INDEX PLUS - CONSERVATIVE (with Digital Assets)

MULTI-INDEX PLUS - CONSERVATIVE (w/o Digital Assets)

MULTI-INDEX PLUS PORTFOLIOS:

MULTI-INDEX PLUS - MODERATE (with Digital Assets)

MULTI-INDEX PLUS - MODERATE (w/o Digital Assets)

MULTI-INDEX PLUS PORTFOLIOS:

MULTI-INDEX PLUS - MODERATE GROWTH (with Digital Assets)

MULTI-INDEX PLUS - MODERATE GROWTH (w/o Digital Assets)

MULTI-INDEX PLUS PORTFOLIOS:

MULTI-INDEX PLUS - GROWTH (with Digital Assets)

MULTI-INDEX PLUS - GROWTH (w/o Digital Assets)

MULTI-INDEX PLUS TACTICAL BLEND - GROWTH

MULTI-INDEX PLUS PORTFOLIOS:

MULTI-INDEX PLUS - AGGRESSIVE (with Digital Assets)

MULTI-INDEX PLUS - AGGRESSIVE (w/o Digital Assets)

MULTI-INDEX PLUS TACTICAL BLEND - AGGRESSIVE

CPR LifeCore PORTFOLIOS

DIVIDEND-INCOME PORTFOLIO

DIVIDEND-INCOME MODERATE GROWTH

BOND ALTERNATIVE PORTFOLIO

BOND ALTERNATIVE

CPR HEDGE PORTFOLIOS

ALPHA HEDGE

SORTINO HEDGE

BETA HEDGE

GOLDCOIN ALTERNATIVE PORTFOLIO

GOLDCOIN ALTERNATIVE

ALA CARTE STRATEGIES

$5,000 Minimum

$25,000 Minimum

$5,000 Minimum

$25,000 Minimum

$5,000 Minimum

$5,000 Minimum

$5,000 Minimum

$5,000 Minimum

$25,000 Minimum

$5,000 Minimum

MBA STRATEGIES

$25,000 Minimum

$5,000 Minimum

$5,000 Minimum

$5,000 Minimum

$10,000 Minimum

$5,000 Minimum

$5,000 Minimum

$10,000 Minimum

$25,000 Minimum

$5,000 Minimum

$5,000 Minimum

$5,000 Minimum

ADDITIONAL INFORMATION ON OUR SUB-ADVISORY FIRMS

Overview:

Objective:

Process:

LONG-TERM RISK MANAGEMENT
CAPITAL PRESERVATION AND GROWTH