9AT: ALPHA DNA INVESTMENT MANAGEMENT

other names

ALPHA DNA INVESTMENT MANAGEMENT
ALPHA DNA INVESTMENT MANAGEMENT LLC

Adviser Profile

As of Date	03/19/2026
Registration	SEC, Approved, 09/14/2020
Other registrations (2)	Maryland, Terminated, 10/02/2020 Texas, Terminated, 09/15/2020
ADV Location	COLUMBIA, MD, United States
Contact Info	443 xxxxxxx
Websites

AUM^*	194,698,387 1%
of that, discretionary	90,006,545 -53%
Private Fund GAV^*	4,670,934 72%
Avg Account Size	297,249 60%
% High Net Worth	39.29% -21%
SMA’s	Yes
Private Funds	1

Adviser Type

- Large advisory firm

Number of Employees 4

of those in investment advisory functions 4

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pooled investment vehicles
- Other investment advisers

Advisory Activities

- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

SEC Fund Type	Count	GAV
Fund TypeHedge Fund	Count1	GAV$4,670,934

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 SAXON SECURITIES LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM94.6m	#Funds-
Adviser PACIFIC RIDGE CAPITAL PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund20.0m	Total Private Fund GAV20.0m	AUM494.6m	#Funds2
Adviser PALM VALLEY CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM281.6m	#Funds-
Adviser GARRISON POINT CAPITAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM315.5m	#Funds-
Adviser HEARTLAND ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.9b	#Funds-
Adviser HARPSWELL CAPITAL ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM587.0m	#Funds-
Adviser SKBA CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM732.0m	#Funds-
Adviser ATALANTA SOSNOFF MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.9b	#Funds-
Adviser KNOWLEDGE LEADERS CAPITAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM166.9m	#Funds-
Adviser ALERA RETIREMENT ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM45.7m	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker464287655	Stock NameISHARES TR (PUT)	$ Position$2,459,316	% Position27.00%	$ Change23.00%	# Change11.00%
Stck Ticker037833100	Stock NameAPPLE INC	$ Position$1,595,626	% Position18.00%	$ Change-9.00%	# Change-1.00%
Stck Ticker78462F103	Stock NameSPDR S&P 500 ETF TR (PUT)	$ Position$1,078,582	% Position12.00%	$ Change141.00%	# Change113.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$962,986	% Position11.00%	$ Change39.00%	# Change5.00%
Stck Ticker46625H100	Stock NameJPMORGAN CHASE & CO.	$ Position$538,073	% Position6.00%	$ Change23.00%	# Change4.00%
Stck Ticker30303M102	Stock NameMETA PLATFORMS INC	$ Position$414,807	% Position5.00%	$ Change7.00%	# Change-16.00%
Stck Ticker907818108	Stock NameUNION PAC CORP	$ Position$460,354	% Position5.00%	$ Change-3.00%	# Change-1.00%
Stck Ticker89417E109	Stock NameTRAVELERS COMPANIES INC	$ Position$236,773	% Position3.00%	$ Change1.00%	# Change0.00%
Stck Ticker64110L106	Stock NameNETFLIX INC	$ Position$313,356	% Position3.00%	$ Change49.00%	# Change4.00%
Stck Ticker808513105	Stock NameSCHWAB CHARLES CORP	$ Position$288,958	% Position3.00%	$ Change17.00%	# Change1.00%

Brochure Summary

Overview

Description of Firm Alpha DNA Investment Management LLC d/b/a Alpha DNA Investment Management is a registered investment adviser based in Columbia, Maryland. We are organized as a limited liability company ("LLC") under the laws of the State of Delaware. We have been providing investment advisory services since May 2017. We are owned by Wayne Ferbert.
The following paragraphs describe our services and fees. Refer to the description of each investment advisory service listed below for information on how we tailor our advisory services to your individual needs. As used in this brochure, the words "we," "our," and "us" refer to Alpha DNA Investment Management and the words "you," "your," and "client" refer to you as either a client or prospective client of our firm.
Portfolio Management Services for Individuals We offer discretionary portfolio management services. Our investment advice is tailored to meet our clients' needs and investment objectives. If you participate in our discretionary portfolio management services, we require you to grant our firm discretionary authority to manage your account. Discretionary authorization will allow us to determine the specific securities, and the amount of securities, to be purchased or sold for your account without your approval prior to each transaction. Discretionary authority is typically granted by the investment advisory agreement you sign with our firm and the appropriate trading authorization forms. You may limit our discretionary authority (for example, limiting

the types of securities that can be purchased or sold for your account) by providing our firm with your restrictions and guidelines in writing.
We offer non-discretionary portfolio management services. Our investment advice is tailored to meet our clients' needs and investment objectives. If you enter into non-discretionary arrangements with our firm, we must obtain your approval prior to executing any transactions on behalf of your account. You have an unrestricted right to decline to implement any advice provided by our firm on a non- discretionary basis.
Sub-Advisory Services to Registered Investment Advisers We offer sub-advisory services to unaffiliated third party money managers (the "Primary Investment Adviser"). As part of these services, we will manage assets delegated to our firm by the Primary Investment Adviser. While we are responsible for the overall management of the assets delegated to our firm, we will not communicate investment recommendations or selections directly to the Primary Investment Adviser's individual clients.
Types of Investments We offer advice on equity securities, United States government securities, options contracts on securities, money market funds, derivatives and ETFs. Additionally, we may advise the Funds on various types of investments based on the Funds' governing documents, goals and objectives.
Assets Under Management As of February 1, 2024, we provide continuous management services for $192,756,106 in client assets on a discretionary basis 4

ALPHA DNA INVESTMENT MANAGEMENT

Adviser Profile

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Overview