Protocol Advisors

Sub-Advisory Services Structure

Protocol Advisors operates as a platform providing sub-advisory services through Protocol Wealth Management, LLC, a registered investment advisor with the Securities and Exchange Commission (SEC). Protocol Wealth Management serves as the SEC-registered RIA providing regulatory oversight and compliance infrastructure for all sub-advisory relationships.

Protocol Advisors facilitates RIA rollup services utilizing a Series LLC structure organized under Wyoming law, enabling independent registered investment advisors to leverage Protocol Wealth's regulatory framework, operational infrastructure, and institutional investment capabilities while maintaining their client relationships and business identity.

Investment Advisory Services

All investment advisory services are provided by Protocol Wealth Management, LLC (CRD# [TO BE INSERTED]), a registered investment advisor. Advisory services are only offered to clients or prospective clients where Protocol Wealth Management and its representatives are properly licensed or exempt from licensure.

Sub-advisory relationships are established through written agreements that clearly define the scope of services, fee arrangements, and regulatory responsibilities. The primary RIA maintains ultimate fiduciary responsibility to end clients while Protocol Wealth Management provides discretionary investment management services as sub-advisor.

RIA Rollup Platform

Protocol Advisors' RIA rollup platform enables qualified investment advisors to operate under Protocol Wealth's regulatory umbrella through a Series LLC structure. Each participating advisor maintains operational independence while benefiting from shared compliance, technology, and institutional investment infrastructure.

Participation in the rollup platform requires meeting specific qualification criteria including minimum assets under management, compliance history, and operational standards. All participating advisors remain subject to Protocol Wealth's compliance policies and regulatory oversight.

Risk Disclosures

All investments involve risk, including the potential loss of principal. Past performance does not guarantee future results. Different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment will be profitable or equal any corresponding indicated historical performance levels.

Sub-advisory services may involve complex investment strategies and alternative investments that may not be suitable for all investors. Clients should carefully consider their investment objectives, risk tolerance, and financial circumstances before engaging in any investment advisory relationship.

Regulatory Information

Protocol Wealth Management's Form ADV Part 2A (Firm Brochure) and Form ADV Part 2B (Brochure Supplement) are available upon request and contain important information about the firm's business practices, services, and fees. These documents are also available on the SEC's Investment Adviser Public Disclosure website at www.adviserinfo.sec.gov.

This website is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any securities or investment advisory services. Such offers are made only through formal written agreements and after delivery of required disclosure documents.

Series LLC Structure

The Series LLC structure utilized by Protocol Advisors is organized under Wyoming law, providing liability protection and operational flexibility for participating advisors. Each series within the LLC operates as a separate entity with distinct assets, liabilities, and business purposes while sharing common infrastructure and regulatory oversight.

This structure enables:

• Shared compliance and regulatory infrastructure
• Economies of scale in operations and technology
• Access to institutional investment platforms
• Liability segregation between series
• Operational independence for participating advisors