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DISCLOSURE DOCUMENT

Last Updated: January 1, 2025

Introduction

Agallas Equities LLC (“Agallas” or the “Firm”) is a registered investment adviser specializing in 
actively managed equity strategies. This document outlines our investment approach, 
associated risks, fee structure, and other material disclosures to ensure transparency with
 current and prospective clients.

INVESTMENT STRATEGY

Agallas employs a disciplined, research-driven approach focused on long-term capital appreciation through equity investments.

RISK FACTORS

Investing with Agallas involves risks, including but not limited to:

Market Volatility:

Equity prices may fluctuate significantly due to economic, political, or sector-specific events.

Concentration Risk:

Overweighting specific sectors or geographies may amplify losses.

Liquidity Risk:

Certain holdings may be illiquid, affecting the ability to exit positions promptly.

Leverage Risk:

Use of margin or derivatives may magnify losses.

CONFLICTS OF INTEREST

Potential conflicts may arise, such as:

Proprietary Investments:

Firm personnel may invest in securities recommended to clients, potentially affecting allocation timing.

Soft Dollar Arrangements:

Execution services may be procured in exchange for
 research, which could influence broker selection.

Agallas mitigates conflicts through strict adherence to its fiduciary duty and compliance policies.

FEES AND COMPENSATION

  • Management Fee: Annual fee of 1.5% of assets under management (AUM), billed quarterly.
  • Performance Fee: 20% of profits above a specified benchmark (e.g., S&P 500), subject to a high-water mark.
  • Expenses: Clients bear proportional costs (e.g., custodial fees, transaction costs).

CLIENT SUITABILITY

Agallas’ strategies are suitable for:
  • Accredited clients and qualified clients as defined by SEC regulations.
  • Those with a long-term horizon (5+ years) and tolerance for significant volatility.

REGULATORY DISCLOSURES

  • Agallas Equities LLC is registered with the SEC.
  • Past performance does not guarantee future results.
  • This document is not an offer to sell securities or a solicitation of an investment advisory agreement.

CONTACT INFORMATION

Agallas Equities LLC

AGALLAS EQUITIES LLC – CONFIDENTIAL & PROPRIETARY

This document is strictly confidential and intended solely for the recipient. Unauthorized distribution prohibited.

*This document may be updated periodically. Clients will receive prompt notice of material changes.

Disclaimer
This website is neither an offer to sell nor a solicitation of an offer to purchase shares of any security offered by Agallas Equities. Such securities are offered only by means of a prospectus or offering memorandum. This material must be read in conjunction with a prospectus in order to understand fully all of the implications and risks of an investment in the securities offered by Agallas Equities LLC. Neither the Securities and Exchange Commission, the Attorney General of the State of New York nor any other state securities regulator has passed on or endorsed the merits of the securities offered by Agallas Equities LLC. Any representation to the contrary is unlawful.