[et_pb_section fb_built=”1″ custom_padding_last_edited=”on|phone” _builder_version=”4.21.0″ _module_preset=”default” background_color=”#092327″ background_image=”https://alphazerowealth.com/wp-content/uploads/2023/06/close-up-businesswoman-using-smart-phone-typing-message-office-1.jpg” background_blend=”overlay” custom_padding=”7rem||7rem||false|false” custom_padding_tablet=”6rem||4rem||false|false” custom_padding_phone=”5rem||2rem||false|false” da_disable_devices=”off|off|off” locked=”off” global_colors_info=”{}” da_is_popup=”off” da_exit_intent=”off” da_has_close=”on” da_alt_close=”off” da_dark_close=”off” da_not_modal=”on” da_is_singular=”off” da_with_loader=”off” da_has_shadow=”on”][et_pb_row _builder_version=”4.21.0″ _module_preset=”default” custom_margin=”||||false|false” global_colors_info=”{}”][et_pb_column type=”4_4″ _builder_version=”4.21.0″ _module_preset=”default” global_colors_info=”{}”][et_pb_post_title meta=”off” featured_image=”off” module_class=”mid-heading” _builder_version=”4.27.4″ _module_preset=”default” title_font=”|700|||||||” title_text_align=”center” title_text_color=”#FFFFFF” title_font_size=”36px” title_font_size_tablet=”32px” title_font_size_phone=”28px” title_font_size_last_edited=”on|phone” global_colors_info=”{}”][/et_pb_post_title][/et_pb_column][/et_pb_row][/et_pb_section][et_pb_section fb_built=”1″ admin_label=”Section” _builder_version=”4.27.4″ _module_preset=”default” background_enable_color=”off” da_disable_devices=”off|off|off” locked=”off” global_colors_info=”{}” da_is_popup=”off” da_exit_intent=”off” da_has_close=”on” da_alt_close=”off” da_dark_close=”off” da_not_modal=”on” da_is_singular=”off” da_with_loader=”off” da_has_shadow=”on”][et_pb_row use_custom_gutter=”on” gutter_width=”2″ custom_padding_last_edited=”on|desktop” _builder_version=”4.20.4″ _module_preset=”default” custom_padding=”0px||||false|false” custom_padding_tablet=”0px||||false|false” custom_padding_phone=”0px||||false|false” global_colors_info=”{}”][et_pb_column type=”4_4″ _builder_version=”4.20.4″ _module_preset=”default” global_colors_info=”{}”][et_pb_text admin_label=”Text” _builder_version=”4.27.4″ _module_preset=”default” global_colors_info=”{}”]
Form ADV Part 3 – Client Relationship Summary
Date: 06/18/2025
Item 1: Introduction
Alpha Zero LLC is an investment adviser registered with the Securities and Exchange Commission offering
advisory accounts and services. Brokerage and investment advisory services and fees differ, and it is important
that you understand the differences. This document gives you a summary of the types of services and fees we
offer. Please visit www.investor.gov/CRS for free, simple tools to research firms and financial professionals, as
well as educational materials about broker-dealers, investment advisers, and investing.
Item 2: Relationships and Services
What investment services and advice can you provide me? Our firm primarily offers the following investment
advisory services to retail clients: portfolio management (we review your portfolio, investment strategy, and
investments); financial planning & consulting (we assess your financial situation and provide advice to meet
your goals); and advisory services related to alternative investments (introduce, vet, recommend, and advise
on alternative investments). As part of our standard services, we typically monitor client accounts on a monthly
basis. Our firm offers both discretionary advisory services (where our firm makes the decision regarding the
purchase or sale of investments) as well as non-discretionary services (where the retail investor makes the
ultimate decision). We limit the types of investments that are recommended since not every type of investment
vehicle is needed to create an appropriate portfolio, but do not limit these investments to proprietary products.
Our minimum account size is $100,000, which may be waived by AZ in its discretion. Please also see our Form
ADV Part 2A (“Brochure”), specifically Items 4 & 7.
Questions to ask us: Given my financial situation, should I choose an investment advisory service? Why or
why not? How will you choose investments to recommend to me? What is your relevant experience, including
your licenses, education and other qualifications? What do these qualifications mean?
Item 3: Fees, Costs, Conflicts, and Standard of Conduct
What fees will I pay? Our fees vary depending on the services you receive. Additionally, the amount of assets
in your account affects our advisory fee; the more assets you have in your advisory account, the more you will
pay us and thus we have an incentive to increase those assets in order to increase our fee. Our fixed fee
arrangements are based on the amount of work we expect to perform for you, so material changes in that
amount of work will affect the advisory fee we quote you. Asset-based portfolio management fees are
withdrawn directly from the client’s accounts with client’s written authorization on a quarterly basis. Fees are
paid in advance. Financial planning fees are paid via check, wire or debit/credit card using AdvicePay. Fixed
financial planning fees are paid in arrears or in advance, but never more than six months in advance. Advisory
and performance-based fees for alternative investments are paid quarterly in arrears. You pay our fees even if
you do not have any transactions and the advisory fee paid to us generally does not vary based on the type of
investments selected. Please also see Items 4, 5, 6, 7 & 8 of our Brochure.
Some investments (e.g., mutual funds, variable annuities, etc.) impose additional fees (e.g., transactional fees
and product-level fees) that reduce the value of your investment over time. The same goes for any additional
fees you pay to a custodian. Additionally, you will pay transaction fees, if applicable, when we buy or sell an
investment for your account. You will pay fees and costs whether you make or lose money on your
investments. Fees and costs will reduce any amount of money you make on your investments over time.
Please make sure you understand what fees and costs you are paying. Please also see our Brochure for
additional details.Form ADV Part 3 – Client Relationship Summary
Date: 06/18/2025
Questions to ask us: Help me understand how these fees and costs might affect my investments. If I give you
$10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
What are your legal obligations to me when acting as my investment adviser? How else does your firm make
money and what conflicts of interest do you have? When we act as your investment adviser, we have to act in
your best interest and not put our interest ahead of yours. At the same time, the way we make money creates
some conflicts with your interests. You should understand and ask us about these conflicts because they can
affect the investment advice we provide you. Here are some examples to help you understand what this means:
• Our financial professionals are licensed insurance agents and therefore can receive commissions for the sale of
insurance products. A conflict of interest exists because there is an incentive to recommend products that
provide additional compensation over those that do not.
• For AUM fees, the more assets you have in your advisory account, the more you will pay us and thus we have
an incentive to increase those assets in order to increase our fee.
• For fixed fees, the more work we expect to perform for you, the higher our fee would be and thus we have an
incentive for you to agree to have us complete more work for you.
• For performance-based fees, we make more money the better your investment returns are, so we have an
incentive to recommend riskier investments due to the higher risk/higher reward attributes.
Questions to ask us: How might your conflicts of interest affect me, and how will you address them?
How do your financial professionals make money? Primarily, we and our financial professionals receive cash
compensation from the advisory services we provide to you because of the advisory fees we receive from you.
This compensation may vary based on different factors, such as those listed above in this Item. As licensed
insurance agents, our financial professionals also have the ability to receive commissions from clients for the
sale of insurance products and therefore have an incentive to recommend products that provide them or us
additional compensation over those that do not. Please also see Item 10 of our Brochure for additional details.
Item 4: Disciplinary History
Do you or your financial professionals have legal or disciplinary history? Yes, we have financial professionals
with legal and disciplinary events. Visit https://www.investor.gov/ for a free, simple search tool to research us
and our financial professionals.
Questions to ask us: As a financial professional, do you have any disciplinary history? For what type of
conduct?
Item 5: Additional Information
For additional information on our advisory services, see our Brochure available at
https://adviserinfo.sec.gov/firm/summary/319050 and any individual brochure supplement your
representative provides. If you have any questions, need additional information, or want another copy of this
Client Relationship Summary, then please contact us at (561) 576-2599.
Questions to ask us: Who is my primary contact person? Is he or she a representative of an investment adviser
or a broker-dealer? Who can I talk to if I have concerns about how this person is treating me?Form ADV Part 3 – Client Relationship Summary
Date: 06/18/2025
Exhibit A – Material Changes to Client Relationship Summary
We offer advisory services related to alternative investments in which we will introduce, vet,
recommend, and advise on alternative investments. (Item 2)
Advisory and performance-based fees for alternative investments are paid quarterly in arrears. (Item
3)
For performance-based fees, we make more money the better your investment returns are, so we have
an incentive to recommend riskier investments due to the higher risk/higher reward attributes. (Item
3)
[/et_pb_text][/et_pb_column][/et_pb_row][/et_pb_section]