9AT: ELIOT FINKEL INVESTMENT COUNSEL, LLC

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 08/28/1974
ADV Location	BEVERLY HILLS, CA, United States
Contact Info	310 xxxxxxx
Websites

AUM^*	186,985,425 8%
of that, discretionary	186,985,425 8%
Number of Employees	3
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	1,074,629 23%
% High Net Worth	52.05% -9%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans

Advisory Activities

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

Compensation Arrangments

- A percentage of assets under your management

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser JLB & ASSOCIATES INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM892.7m	#Funds-
Adviser ELGETHUN CAPITAL MANAGEMENT	Hedge Fund7.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund78.4m	Total Private Fund GAV86.0m	AUM1.1b	#Funds2
Adviser BREAKWATER CAPITAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM156.6m	#Funds-
Adviser SPRING CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM223.0m	#Funds-
Adviser PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM87.5m	#Funds-
Adviser LEVIN FUNDING GROUP LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM215.4m	#Funds-
Adviser FIELDS GOTTSCHO CAPITAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM333.0m	#Funds-
Adviser KIMELMAN & BAIRD, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.5b	#Funds-
Adviser CK ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM96.7m	#Funds-
Adviser PARKER FINANCIAL ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM217.6m	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker219350105	Stock NameCORNING INC	$ Position$19,164,972	% Position10.00%	$ Change52.00%	# Change-2.00%
Stck TickerG29183103	Stock NameEATON CORP PLC	$ Position$13,097,518	% Position7.00%	$ Change12.00%	# Change0.00%
Stck Ticker244199105	Stock NameDEERE & CO	$ Position$12,119,400	% Position7.00%	$ Change21.00%	# Change0.00%
Stck Ticker031162100	Stock NameAMGEN INC	$ Position$8,709,343	% Position5.00%	$ Change7.00%	# Change0.00%
Stck Ticker655844108	Stock NameNORFOLK SOUTHN CORP	$ Position$9,070,635	% Position5.00%	$ Change-1.00%	# Change0.00%
Stck Ticker369550108	Stock NameGENERAL DYNAMICS CORP	$ Position$8,810,114	% Position5.00%	$ Change2.00%	# Change0.00%
Stck Ticker452308109	Stock NameILLINOIS TOOL WKS INC	$ Position$6,751,923	% Position4.00%	$ Change6.00%	# Change0.00%
Stck Ticker58933Y105	Stock NameMERCK & CO INC	$ Position$7,475,422	% Position4.00%	$ Change14.00%	# Change0.00%
Stck Ticker580135101	Stock NameMCDONALDS CORP	$ Position$7,051,825	% Position4.00%	$ Change2.00%	# Change0.00%
Stck Ticker693718108	Stock NamePACCAR INC	$ Position$7,502,187	% Position4.00%	$ Change5.00%	# Change0.00%

Brochure Summary

Overview

Eliot Finkel Investment Counsel, LLC (EF Invest) was founded in 1974. Eliot Finkel is the principal owner. We manage portfolios of stocks and bonds for our clients. We design our portfolios to provide value, safety and income. We use broad economic analysis and fundamental company research to guide our decisions. Our investment strategy is value- oriented and focused on the long term. As an independent, fee-only Registered Investment Adviser (RIA) our clients’ interests come first as required by our fiduciary duty under the Investment Advisers Act of 1940. Client accounts are separately managed through one or more brokerage firms. EF Invest has no affiliation with any brokerage firm. All of our investments are made directly in securities such as stocks and bonds. As of December 31, 2023 we managed $175,514,265 in discretionary reportable Assets under Management.
Retirement Rollovers & Conflicts of Interest: If we make recommendations or provide advice related to a retirement plan account or individual retirement account, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act ("ERISA") and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts. In the event we recommend a client rollover their retirement plan assets into an account to be managed by our firm or (where applicable) recommend the purchase of a retail investment product, such a recommendation creates a conflict of interest because we will

be compensated if you follow our recommendation. To manage this conflict, we operate under a special ERISA rule relating to retirement assets that requires us to act in your best interest and not put our interests ahead of yours. Under this special rule’s provisions, we must:
• Meet a professional standard of care when making investment recommendations (give prudent advice);
• Never put our financial interests ahead of yours when making recommendations (give loyal advice);
• Avoid misleading statements about conflicts of interest, fees, and investments;
• Follow policies and procedures designed to ensure that we give advice that is in your best interest;
• Charge no more than is reasonable for our services; and
• Give you basic information about conflicts of interest. While not always the case, a client or prospective client leaving an employer typically has the below four options regarding an existing retirement plan: 1. Retain the assets in the former employer’s plan; 2. Rollover the assets to a Traditional IRA or Roth IRA; 3. Rollover the assets to the plan of a new employer; or 4. Receive a cash distribution. Deciding which of the above options are right for you can be a complex process. For that reason, we will discuss each option after we conduct a careful analysis. Additionally, we provide a written "Retirement Advice Disclosure" to our clients to educate you so you can make a good decision. Please let us know if you did not receive the above disclosure so we can provide it to you.

ELIOT FINKEL INVESTMENT COUNSEL, LLC

ELIOT FINKEL INVESTMENT COUNSEL, LLC

EF INVEST

FINKEL ELIOT MICHELOW

ELIOT FINKEL INVESTMENT COUNSEL, LLP

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

Need help?

Send a question to 9AT support.

ELIOT FINKEL INVESTMENT COUNSEL, LLC ELIOT FINKEL INVESTMENT COUNSEL, LLC EF INVEST FINKEL ELIOT MICHELOW ELIOT FINKEL INVESTMENT COUNSEL, LLP

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

ELIOT FINKEL INVESTMENT COUNSEL, LLC

ELIOT FINKEL INVESTMENT COUNSEL, LLC

EF INVEST

FINKEL ELIOT MICHELOW

ELIOT FINKEL INVESTMENT COUNSEL, LLP