About American Investors Company

Founded in 1966, American Investors Company (AIC) is one of the largest privately-owned broker-dealers headquartered in the San Francisco Bay Area. AIC is a member of the Financial Industry Regulatory Authority (FINRA) and has over 110 registered representatives, located primarily in northern California.

Additionally, AIC is registered as an investment adviser with the Securities and Exchange Commission. Approximately 40% of AIC’s registered representatives operate as advisory affiliates under AIC's investment adviser registration.

AIC is subject to regulation by the FINRA, the California Department of Corporations and the Securities and Exchange Commission. Inquiries regarding AIC’s regulatory status can easily be directed to any of its three regulatory bodies through their respective websites.

AIC has an experienced home office staff with collective expertise in operations, administration, compliance, due diligence, product knowledge and securities trading.

KEY BACKGROUND DATA

PRODUCTS and SERVICES

AIC has one of the most extensive product portfolios available, consisting of:

RESEARCH and DUE DILIGENCE

American Investors Company is a member firm of the Alliance of Independent Broker-Dealers (AIBD), a non-profit membership association, organized to perform research and due diligence on direct participation program sponsors and third party money managers on a collective basis for the benefit of the member firms. The AIBD was incorporated in 1981 and presently employs a full-time Executive Director, Executive Administrator and Research Analyst and retains its own legal counsel.

REPRESENTATIVE EDUCATION

AIC puts special emphasis on continuing education for its representatives. AIC conducts occasional one-day meetings where investment product vendors, sales leaders, money managers and technical guest speakers come together to address current issues and marketing opportunities.

AIC’s annual 3-day sales and compliance conference, in addition to showcasing investment product vendors, typically features nationally prominent money managers, economists, financial planning specialists and other notable guest speakers addressing a wide variety of financially related subjects. Additionally, attendees at this annual meeting can earn CFP credits, insurance continuing education credits and satisfy their FINRA annual compliance and firm element continuing education requirements.

AIC is licensed as a broker-dealer in AL, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, KS, KY, ME, MD, MA, MI, MN, MS, MO, MT, NV, NJ, NM, NY, NC, OH, OK, OR, PA, RI, SD, TN, TX, UT, VT, VA, WA, WI, and WY and may only transact business in those states.

We are also registered with the SEC as a Registered Investment Adviser in AZ, CA, FL, MD, NV, NY, OR, TX, and WA.

If you do not reside in one of those states, we will not attempt to transact securities for your account or provide you with investment advisory services unless and until we are properly licensed in your state.

Nothing contained herein should be construed as an offer or solicitation to purchase any security or to render specific investment advisory services. Such offer or solicitation to purchase can only be done when preceded by appropriate offering materials or subsequent to receipt of AIC’s Form ADV and execution of an investment advisory agreement.