9AT: CLEAR ROCK ADVISORS, LLC

Adviser Profile

As of Date	11/24/2024
Registration status	Terminated
ADV Location	AUSTIN, TX, United States
Contact Info	512 xxxxxxx
Websites

AUM^*	429,910,416 8%
of that, discretionary	429,910,416 8%
Number of Employees	7
of those in investment advisory functions	6
Private Fund GAV^*	0
Avg Account Size	754,229 7%
% High Net Worth	67.76% 3%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Charitable organizations

Advisory Activities

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

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

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 ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM218.9m	#Funds-
Adviser THE SUM	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM551.4m	#Funds-
Adviser VERITY WEALTH ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM278.5m	#Funds-
Adviser SEAHORSE FINANCIAL ADVISERS INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM86.7m	#Funds-
Adviser VALUES ADDED FINANCIAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM313.7m	#Funds-
Adviser WOODWARD FINANCIAL ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM641.5m	#Funds-
Adviser ETRE LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM216.8m	#Funds-
Adviser CYPRESS CAPITAL MANAGEMENT US LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM106.2m	#Funds-
Adviser KOPION ASSET MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM142.6m	#Funds-
Adviser HELM CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM400.8m	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker47103U852	Stock NameJANUS DETROIT STR TR	$ Position$23,136,961	% Position10.00%	$ Change1.00%	# Change2.00%
Stck Ticker46429B267	Stock NameISHARES TR	$ Position$21,149,423	% Position9.00%	$ Change1.00%	# Change2.00%
Stck Ticker922908751	Stock NameVANGUARD INDEX FDS	$ Position$21,290,299	% Position9.00%	$ Change-5.00%	# Change-1.00%
Stck Ticker97717Y527	Stock NameWISDOMTREE TR	$ Position$14,690,923	% Position6.00%	$ Change-18.00%	# Change-18.00%
Stck Ticker72201R817	Stock NamePIMCO ETF TR	$ Position$14,594,957	% Position6.00%	$ Change-2.00%	# Change-2.00%
Stck Ticker808524201	Stock NameSCHWAB STRATEGIC TR	$ Position$7,662,263	% Position3.00%	$ Change-2.00%	# Change-5.00%
Stck Ticker72201R866	Stock NamePIMCO ETF TR	$ Position$6,065,876	% Position3.00%	$ Change5.00%	# Change6.00%
Stck Ticker863667101	Stock NameSTRYKER CORPORATION	$ Position$3,547,448	% Position2.00%	$ Change-4.00%	# Change1.00%
Stck Ticker921932828	Stock NameVANGUARD ADMIRAL FDS INC	$ Position$3,519,356	% Position2.00%	$ Change-4.00%	# Change-1.00%
Stck Ticker808524508	Stock NameSCHWAB STRATEGIC TR	$ Position$3,696,225	% Position2.00%	$ Change-12.00%	# Change-8.00%

Brochure Summary

Overview

Firm Description Clear Rock Advisors, LLC, a Texas limited liability company and private investment advisory firm (“we,” “us,” “our” or “Clear Rock Advisors”), was founded in December 2015. We provide investment advisory services to various separately managed accounts with respect to investment in securities and other financial instruments. We generally expect to have full discretionary authority with respect to investment decisions, and our investment advice will be provided in accordance with the investment objectives, guidelines and restrictions of each client, as set forth in the applicable investment management agreements and/or account documents. The information in this brochure is qualified in its entirety by the information set forth in such documents. Principal Owners Charles F. Hall, Jr., William T. Sanders, and Royce W. Medlin are our sole members and equity owners. Types of Advisory Services We provide discretionary investment advisory services to separately managed accounts of various clients with respect to investments in securities, financial instruments and/or other assets. These advisory services include the formulation and implementation of a strategic financial plan specific to each client, followed by the implementation of such plan using researched product offerings over a variety of investable asset classes. In addition to these investment advisory services, we also provide consulting services that include, among others, the review and analysis of external

investments and the formulation of various implementation options through our extensive network of professional service providers. Whether it be formulation, implementation, or consulting services, we tailor our investment solutions to meet the specific needs and goals of each client. On occasion, we recommend an investment product that will require a client signature for purchase. For example, for those clients that meet the necessary qualification thresholds, we have recommended investment in certain third-party private offerings. Clear Rock Advisors also provides sub-advised investment management services to unaffiliated registered investment advisers. Client accounts will be managed in accordance with the investment objectives, strategies, guidelines, restrictions, and limitations set forth in the investment management agreement and/or other applicable account documents. See Item 8 below. Investment Restrictions We will tailor our investment advisory services to the individual needs, desires, and financial objective(s) of each client. Clients can impose reasonable restrictions and/or limitations on our investment advisory or consulting services, including, but not limited to, restrictions on the types of securities purchased, position limits, net exposure limits and leverage limits. Assets under Management As of December 31, 2023, we have $429,910,416 in discretionary assets under management and $0 in non- discretionary assets under management. 4 | P a g e

CLEAR ROCK ADVISORS, LLC

CLEAR ROCK ADVISORS, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

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CLEAR ROCK ADVISORS, LLC CLEAR ROCK ADVISORS, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

CLEAR ROCK ADVISORS, LLC

CLEAR ROCK ADVISORS, LLC