Page 4 A. Ownership/Advisory History Halo Investment Services, LLC (“Halo” or the “firm”) is an Illinois limited liability company. The firm is owned by Halo Investing, Inc. Halo became registered as an investment adviser in 2023. B. Advisory Services Offered Halo Protected Investments TAMP Halo shall make the Turnkey Asset Management Program (“TAMP”) platform and related services (“Platform Services”) available to the client facing adviser (“Advisor”) through the Platform web application designated by Halo. An Advisor and its representatives may use the Platform Services to access information regarding their investment advisory accounts (“Accounts”) and to manage Advisor Accounts on a discretionary basis by selecting one or more strategies (“Strategy” or “Strategies“) managed by sub-advisers available on the Platform (subject to the terms and conditions of the Platform agreement). Such Platform Services are confined to structured note securities and related strategies. Platform Services include: ▪ Providing access to the Platform wherein Advisors will be able to review sub-advisers and their strategies ▪ Providing post-trade reporting information for notes generated for their accounts. ▪ Providing sub-advisers with access to price discovery for note issuing banks, pre-trade analytics on note structuring and ability to direct trade execution on such notes. ▪ Providing sub-advisers, either directly or through a third-party provider, access to modeling of structured notes within asset allocations for management of Advisor Client Accounts. ▪ Conducting initial and ongoing due diligence on sub-advisers that are made available through the Platform. Halo has the authority to engage or terminate a sub-adviser with respect to any Advisor Client that sub-adviser has accepted; however, such authority is limited to (a) effecting such engagement or termination upon the Adviser’s direction to Halo through the Platform; (b) Halo’s authority to terminate a sub-adviser from the Program in accordance with the terms and conditions of the sub-advisory agreement; and (c) Halo’s authority to terminate its advisory agreement with the Advisory and/or Client Account, in accordance with the terms and conditions thereof. Upon the initial opening of an account to be managed by a sub-adviser for a particular Client Account, Halo shall also deliver, or cause to be delivered, to each Advisor a copy of Halo’s

disclosure documents (ADV 2A & 2B) and the sub-adviser’s current Form ADV, Part 2A, Form CRS and privacy notice. On an annual basis thereafter (or more frequently as may be separately agreed), Halo shall deliver to Advisor, for delivery to each Client, the updated version of Halo’s Page 5 disclosure documents (ADV 2A & 2B) and the sub-adviser’s Form ADV, Part 2A, and Form CRS as applicable. Sub-Adviser Strategies Halo will make available through the Platform various strategies, as described in Item 8 of this brochure, managed by Halo as a sub-adviser or by non-affiliate third-party sub-advisers. Advisor, and neither Halo nor the sub-adviser, shall be solely responsible for determining whether a particular Strategy is suitable and appropriate for each end client (“Client”) based on the Client’s investment objectives and financial circumstances and selecting the Strategy for each Client. Advisor is responsible for promptly notifying Halo through the Platform of any changes to the selection of a Strategy for any Account or of any other information that may affect a sub-adviser’s management of the Account. Halo and sub-advisers will not bear any responsibility for the selection of any Strategy or for investment management decisions or other actions taken on the basis of any incomplete, misleading, or incorrect information relating to any Client or Account. The sub-adviser will provide discretionary investment management services with respect to that portion of each Client’s Account that is invested in the Strategy, and will invest and reinvest such assets in accordance with the applicable Strategy without the prior approval or consent of Advisor or Client. A Strategy selected for a Client’s Account may be subject to an initial minimum investment amount. See sub-adviser(s) ADV Part 2A and related disclosure material. C. Client-Tailored Services and Client-Imposed Restrictions Each Client’s Account will be managed on the basis of the strategy selected by the Client and/or Client’s Advisor and managed by the applicable sub-adviser. D. Wrap Fee Programs Halo does not participate in wrap fee programs, where brokerage commissions and transaction costs are included in the asset-based fee charged to the client. E. Client Assets Under Management As of March 31, 2024, Halo had $31,200,000 in assets under management, all on a discretionary basis.
Item 5: Fees and Compensation