Secure Investment Management, LLC

• A percentage of assets under your management
• Hourly charges

Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ

Account minimum: $25,000 (the brochure says it may be waived or negotiated)

As stated in the firm's Form ADV Part 2A brochure dated August 3, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site

$42,909,330 as of October 2026, filing dated August 14, 2026.

A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means

A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.

• Financial planning services
• Portfolio management for individuals and/or small businesses

Also doing business as

JLB FINANCIAL, MOVE FORWARD CAPITAL, SECURE HORIZON FINANCIAL PLANNING, WEALTHPRO GROUP

Registration

SEC-registered investment adviser. Status as filed: Approved.

Registered since

2015 (11 years)

Employees

Total: 31. Performing investment advisory functions: 20.

Wrap fee program participation

No.

Custodians (Schedule D, Section 5.K(3))

Fidelity Brokerage Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

Other offices (Schedule D, Section 1.F)

1 other office, as of the September 2026 filing

San Diego, CA

States registered or notice-filed

22 states or jurisdictions

ARAZCACOFLGAILKSLAMDMIMNNCNENMNYOKTXUTVAWAWI

SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration

1 Reports 1 disclosure item on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Regulatory matters Items 11.C to 11.G

• 11.D(2) Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures

Regulatory assets under management: $54,839,396 in the October 2021 data and $42,909,330 in the October 2026 data, down 22%.

Total employees: 23 in October 2021 and 31 in October 2026.

As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.

1. September 2026
   • Registered or notice-filed in LA.
2. July 2026
   • Registered or notice-filed in NM.
3. May 2026
   • No longer lists the business name Tax Smart Investing & Planning.
   • Added the business name Wealthpro Group.
   • Added the business name Secure Horizon Financial Planning.
   • Added the business name Move Forward Capital.
   • Added the business name JLB Financial.
   • Employees performing advisory functions went from 12 to 20.
   • Regulatory assets under management went from $38,291,887 to $42,909,330 (+12%).
   • Added an office in San Diego, CA.
   • Registered or notice-filed in NY.
   • Updated its list of owners and control persons (Schedule A).

Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.