NYSE Issuer spotlight: Q&A Ocean Park Asset Management

Q. Who is Ocean Park Asset Management?

In 1987, we developed what we believe to be a differentiated approach to portfolio risk management in Santa Monica, California. Today, Ocean Park Asset Management, with nearly $5 billion AUM, has a national presence. Our aim is to grow client wealth with the objectives of 1. participating opportunistically in global investment uptrends and 2. using a tactical discipline to help limit downside.

Q. What is your perspective on tactical investing?

We believe people and portfolios may benefit from the daily, tactical management of assets and that a flexible, responsive approach to changing market conditions may be better than buy-and-hold. Our tactical, rules-based process incorporates trend following, security selection, and a Trailing Stop Discipline, which seeks to limit the impact of a further decline in value of a security on the overall portfolio.

Q. What investment solutions does Ocean Park offer?

We offer models, including ETF models, active ETFs, and mutual funds. Ranging from fixed income-focused to equity-focused, our solutions address a range of investor goals and risk profiles. Our tactical, rules-based investment process spans all solutions, and we focus on depth and breadth in asset class selection. In addition, we offer solutions, knowledge, and tools to help advisors and clients navigate complex financial landscapes.

Q. How did a duck become part of your branding?

We have used this analogy for decades: when an object is aimed at your head, instinctively you “duck.” This reflex is the guiding principle behind our investment process. In times of turbulence and in absence of uptrends across our target investment opportunity set, our portfolios can tilt to 100% cash asset class exposure. From there, we can invest those funds in money market funds and overnight sweep vehicles where available. The duck as a symbol of our ability to “duck” during downturns has become a powerful way to communicate our investment philosophy.

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Ocean Park Asset Management, LLC is an SEC registered investment advisor that serves as an investment adviser to an investment company registered under the Investment Company Act of 1940, where it provides investment management services to Mutual Funds and Exchange Traded Funds (ETFs), namely the Ocean Park Mutual Funds and the Ocean Park ETFs. Ocean Park manages nearly $5 billion of client assets as of 12/31/24.

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Note from NYSE Arca:

NYSE Arca presents this Issuer Spotlight Q&A for illustrative, informational and/or educational purposes only and makes no recommendation as to possible benefits from any securities, investments, or trading strategies. Investors should undertake their own due diligence regarding their securities and investment practices. No representation or warranty is made regarding any of the content provided herein.

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RISKS and DISCLOSURES

Advisory services are offered through Ocean Park Asset Management, LLC, a registered investment adviser (“RIA”) regulated by the U.S. Securities and Exchange Commission (“SEC”). The advisory services are only offered in jurisdictions where the RIA is appropriately registered. The use of the term “registered” does not imply any particular level of skill or training and does not imply any approval by the SEC. For information pertaining to the registration status of Ocean Park Asset Management, LLC, please call 1-844-727-1813 or refer to the Investment Adviser Public Disclosure website (www.adviserinfo.sec.gov).

Past performance does not guarantee future results and there is no guarantee that any investment strategy will achieve its objectives, generate profits, or avoid losses.

Investors should carefully consider the investment objectives, risks, charges, and expenses of the Ocean Park Mutual Funds and Ocean Park ETFs (collectively, “Ocean Park Funds”). This and other information about the Ocean Park Funds are contained in the prospectus and should be read carefully before investing. The prospectus can be obtained by calling toll free 1-866-738-4363 (1-866-RETI-FND). The Ocean Park Funds are distributed by Northern Lights Distributors, LLC, member FINRA/SIPC. Ocean Park Asset Management, LLC is not affiliated with Northern Light Distributors, LLC. Investors should carefully consider the investment objectives, risks, charges, and expenses of the Ocean Park ETFs. This and other information about the Fund is contained in the prospectuses and should be read carefully before investing. The prospectuses can be obtained by clicking here or by calling toll free 1-866-738-4363 (1-866-RETI-FND). The Ocean Park ETFs are distributed by Northern Lights Distributors, LLC, member FINRA/SIPC. Ocean Park Asset Management, LLC is not affiliated with Northern Lights Distributors, LLC.

There is no guarantee that any investment strategy will achieve its objectives, generate profits, or avoid losses.

IMPORTANT FUND RISKS

While the shares of ETFs are tradeable on secondary markets, they may not readily trade in all market conditions and may trade at significant discounts in periods of market stress. ETFs trade like stocks, are subject to investment risk, fluctuate in market value and may trade at prices above or below the ETF’s net asset value. Brokerage commissions and ETF expenses will reduce returns. There is no guarantee that the Fund will achieve its objective. ETF’s are subject to specific risks, depending on the nature of the underlying strategy of the fund. ETF’s are subject to specific risks, depending on the nature of the underlying strategy of the fund. These risks could include liquidity risk, emerging markets risk, foreign market risk, sector risk, as well as risks associated with fixed income securities, real estate investments, and commodities, to name a few.

Further information:
Please visit oceanparkam.com or call: National sales desk | 844-727-1813, Shareholder services | 866-738 4363

0470-OP00XPRS 07022025

20250702-4634093