Risk Disclosure

Effective date: April 29, 2026 · Last updated: April 29, 2026

1. Not investment advice

Alpha Suite is not a registered investment advisor under the Investment Advisers Act of 1940 or any state-level equivalent, not a broker-dealer registered with the SEC or FINRA, not a Commodity Trading Advisor or Commodity Pool Operator registered with the CFTC, and not a financial planner. We do not have a fiduciary duty to you.

Every signal, score, ranking, conviction tier, regime label, position-size suggestion, and barrier (take-profit, stop-loss, time-stop) is produced by software models from public market data. None of it is personalised to your financial situation, risk tolerance, tax position, time horizon, age, employment, dependents, or investment objectives — because Alpha Suite does not collect that information and could not act on it if we did.

Nothing displayed on the platform constitutes a recommendation, solicitation, offer, or invitation to buy or sell any security, derivative, or other financial instrument. References to specific tickers are illustrative only.

2. No guarantees, no past-performance representation

• Signal scores and confluence tiers are model outputs, not probability statements about your individual trade.
• Take-profit, stop-loss, and time-stop barriers are derived from a volatility-anchored, kurtosis-corrected first-passage-probability model. The model has known limitations: it assumes locally stationary volatility, ignores jumps from earnings or M&A surprises, and does not account for fundamental risk events.
• Confluence (multi-strategy agreement) elevates conviction but does not eliminate loss risk. A Prime-tier signal can and will lose money in some realisations.
• The macro-regime multiplier (40–100%) scales position sizing but does not protect against catastrophic single-name moves.
• We make no representation that any user will profit from using Alpha Suite. Most retail traders lose money over time, regardless of the tools they use.

3. Paper-tracking is a simulation

The "Paper-track this signal" feature opens a simulated position in our database. There is no broker connected, no order placed, no capital at risk. Paper-tracking exists to:

• let you observe how a signal behaves in real time before deciding whether to deploy real capital;
• email you when a take-profit, stop-loss, or time-stop fires; and
• generate research data for your own review.

Paper outcomes can and will diverge from outcomes in a real brokerage account due to:

• Slippage. Paper fills are at the latest closing price. Real fills include bid-ask spread, market impact, and execution latency.
• Commissions and fees. Paper P&L is gross. Real P&L is net of broker commissions, regulatory fees, ECN fees, borrow costs, and short-locate fees.
• Liquidity constraints. Paper assumes you can always trade the displayed quantity. In real markets, large orders move the price.
• Stop fills. Paper closes a position when the close price crosses a barrier. Real stops trigger on intraday touches and may execute at gaps far below the stop price.
• Corporate actions. Paper does not adjust for splits, dividends, or M&A in the same way a real broker would.
• Funding. Paper has unlimited buying power within tier slot caps. Real accounts are constrained by margin, day-trade limits, and pattern-day-trader rules.

Treat paper performance as model performance, not as a forecast of your account.

4. No fiduciary relationship

Use of the Service does not create an advisory, fiduciary, agency, partnership, or trust relationship between you and Alpha Suite. We do not know you, your other holdings, your tax situation, or your liquidity needs. Any decision to act on a signal in your own brokerage account is yours alone.

5. No order execution, no broker

Alpha Suite never places trades on your behalf. We do not custody assets, hold cash, accept funds, or transmit orders to any exchange or alternative trading system. To act on a signal, you must use your own brokerage account, accept that broker's terms, and bear the operational and financial risk of execution. Alpha Suite is not responsible for any errors, delays, or losses incurred on a third-party broker.

6. General market risks

6.1 Volatility

Equity prices can move sharply in seconds. Implied volatility can change faster than realised volatility, generating losses on options or volatility-sensitive strategies. Markets do not move in straight lines and can stay irrational longer than a strategy can stay solvent.

6.2 Liquidity and gap risk

Stop orders are not guarantees of price. In fast markets, on news, after-hours, or around earnings, price can gap through a stop level — your fill can be materially worse than the stop you set. Thinly traded names amplify this. Time-stops do not guarantee an exit at the model's expected price.

6.3 Concentration risk

Following multiple correlated signals (same sector, same factor exposure, same regime sensitivity) can produce a portfolio that is much riskier than the per-position risk numbers suggest. Alpha Suite's portfolio-level guardrails (correlation penalty, sector cap, alpha-risk-budget) operate on the platform's research output, not your real positions.

6.4 Leverage and margin

Trading on margin amplifies both gains and losses. A leveraged loss can exceed the capital deployed and trigger forced liquidations. Alpha Suite's position-sizing assumes unleveraged cash equity; using a margin account magnifies any loss disclosed elsewhere on this page.

6.5 Short selling

Short positions have theoretically unlimited downside (the price can rise without bound), can be force-closed by a hard-to-borrow recall, and are subject to short-locate fees that can change daily.

6.6 After-hours and overnight risk

Holding positions overnight or over weekends exposes you to news, earnings releases, geopolitical events, and gap-opens. Alpha Suite's models are not designed to react inside these windows.

6.7 Currency and cross-listed risk

Tickers cross-listed in multiple currencies, ADRs, and foreign-domiciled securities carry currency, withholding-tax, and jurisdictional risk that the platform does not track.

7. Strategy-specific risks

Each Alpha Suite strategy has its own failure mode. Non-exhaustive list:

• Insider tracking (Form 4). Cluster buys can precede underperformance. Insiders sometimes buy ahead of bad news. 10b5-1 plans pre-schedule trades that have no informational content.
• 13D activist. Activists can fail; the stock can return to its prior path. Activist intent disclosed in a filing may change without notice.
• Earnings drift (PEAD). Drift sometimes reverses. Earnings revisions, analyst updates, and guidance changes can overwhelm the surprise signal.
• Momentum (JT 12-2). Momentum crashes are well documented — the worst drawdowns in equity-momentum factor history occurred during regime shifts after extended trends.
• Sector momentum. Sector rotation can invalidate the trend within a single trading session.
• Pairs / mean reversion. Cointegrated pairs can break down structurally (M&A, accounting restatement, sector divergence). Mean-reversion strategies are short volatility — they make small steady gains and occasionally lose much more than expected.
• VCP / breakout. Breakouts fail; false breakouts above resistance are common, especially in choppy regimes.
• Short squeeze. Squeezes are reflexive; entry timing matters more than the screen, and squeeze names can collapse 50%+ in a single session.
• Options flow. "Smart money" indicators are noisy and routinely misinterpreted. Options decay rapidly with time and volatility.
• Credit-equity divergence. Credit and equity can decouple for extended periods without converging.
• Macro regime detection. Regime classifiers are lagging by construction and can flip mid-trade.

8. Data and software risks

8.1 Data sources

Alpha Suite ingests data from third-party sources including SEC EDGAR (Form 4, 13D, 10-K/Q), market data providers, options-flow vendors, and FRED. We do not control these sources. Risks include:

• Filing delays. Form 4 must be filed within two business days, but transactions can be amended later. 13D within ten days. Late or amended filings change the signal.
• Data revisions. Earnings, fundamentals, and macro series are revised after publication. Prior signals may have been computed on later-revised numbers.
• Outages. Upstream APIs go down. When they do, scans may produce stale, partial, or no signals.
• Survivorship bias. Securities that have been delisted, bankrupted, or acquired are not always retained in our universe.
• Look-ahead bias. Even with care, a backtest can accidentally use information not knowable at the time. We do not warrant our backtests are free of this.

8.2 Software

• The Service is software and has bugs. Models can produce incorrect output. Edge cases (illiquid names, halts, IPO day, dual-class shares) can break heuristics silently.
• Real-time signals depend on the scan loop running on schedule. Schedule slips, container restarts, and infrastructure incidents can delay or skip a scan.
• The position monitor runs every 30 minutes — it is not a substitute for a real-time stop in a live brokerage account.
• Email delivery (open / close / digest) depends on a third-party email provider and recipient mail-server policies. Emails can be delayed or filtered to spam.

9. Suitability and risk capital

Alpha Suite is designed for users who already understand securities markets. If you are new to trading, we recommend extensive paper-only use and education before committing real capital.

10. Tax

Trading generates taxable events in most jurisdictions. Short-term gains are typically taxed at higher rates than long-term gains. Wash-sale rules can disallow losses. Alpha Suite does not track your tax-lot position, does not provide tax advice, and does not produce 1099 or equivalent documents. Consult a qualified tax professional for your jurisdiction.

11. Jurisdiction and international users

Alpha Suite is operated from the United States. Securities laws differ by jurisdiction. Some jurisdictions restrict access to financial-information products, require local registration of investment-research providers, or prohibit specific instruments (CFDs, leveraged ETFs, certain options). It is your responsibility to confirm that your use of the Service is lawful in your jurisdiction.

Users in the EU/EEA, UK, Canada, Australia, and other regulated regions should be aware that signals shown on Alpha Suite are not produced under MiFID II investment-research rules, FCA conduct rules, or equivalent local frameworks.

12. Acknowledgement

By creating an account, subscribing, or otherwise using Alpha Suite, you acknowledge that you have read, understood, and accepted this Risk Disclosure in full, together with the Terms of Service, Privacy Policy, Refund Policy, and Data Rights page. If you do not accept any part of the above, do not use the Service.

Questions: [email protected].