9AT: OPTION RESEARCH & TECHNOLOGY SERVICES, LLC

OPTION RESEARCH & TECHNOLOGY SERVICES, LLC

other names

OPTION RESEARCH & TECHNOLOGY SERVICES, LLC

Adviser Profile

As of Date	03/31/2026
ADV Location	PORTSMOUTH, NH, United States
Adviser Type - Internet adviser
Number of Employees	5 25%
of those in investment advisory functions	5 25%
Registration	SEC, Approved, 06/15/2018

AUM^*	0
of that, discretionary
Private Fund GAV^*	0
% High Net Worth	5.99% 100%
SMA’s	No
Private Funds	0
Contact Info	312 xxxxxxx
Websites

Client Types

Advisory Activities

Compensation Arrangments

- Fixed fees (other than subscription fees)

Reported AUM

1 1 1 1

2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Option Research & Technology Services, LLC, (“ORATS”) is an Illinois limited liability company founded in 2001. ORATS is wholly-owned by Matthew Amberson (the “Chief Compliance Officer”). The majority of ORATS’ business is the sale of research products on a subscription basis, which includes fundamental research on companies, research on sectors and industries, and investment strategy and other analytical pieces. Such services are typically sold via a password protected website on a subscription basis to institutional investors. ORATS offers consulting services to institutional asset managers, consisting primarily of pension funds, investment managers, and insurance companies. Such services typically relate to customized research projects regarding individual issuers or sectors, and each such advisory relationship is governed by a separate, customized agreement. Such agreements do not ever involve trading or authority over a customer’s account, and accordingly, client restrictions on investing in certain types of securities are not applicable to ORATS’ business. Generally, ORATS’ business is limited to using historical options related data to meet the needs of

its clients. Among other services, ORATS offers backtesting of options strategies and implementation of strategies using bespoke scanning tools or programs. Direction for the scope of such research projects is arrived at through discussion and negotiations between ORATS and the particular client and is then set forth in a customized advisory agreement or engagement letter. ORATS does not provide a full range of advisory services, nor does it offer advice with respect to the appropriateness of trading strategies, or strategies relating to other tradable instruments (e.g., futures, options), or certain matters that are beyond the scope of its core focus on historical options data. At present, ORATS typically may be engaged to provide consulting and evaluative services on an episodic basis (e.g., a specific research project) or a periodic basis (e.g., consulting with respect to a client’s portfolio on a quarterly or semi-annual basis). In such cases, ORATS has no authority (discretionary or non- discretionary) over any customer’s assets, nor does ORATS have access to any customer accounts with any institution or any other personally identifiable customer information.