9AT: FINANCIAL RESOURCES MANAGEMENT, INC.

Adviser Profile

As of Date	03/30/2025
Registration status	Terminated
ADV Location	COMMACK, NY, United States
Contact Info	631 xxxxxxx

AUM^*	67,984,047 10%
of that, discretionary	0
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	1,214,001 10%
% High Net Worth	78.57%
SMA’s	Yes
Private Funds	0

Adviser Type

- Mid-sized advisory firm

Client Types

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

Advisory Activities

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

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 FINANCIAL FREEDOM	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM443.2m	#Funds-
Adviser PROMETHEUS CAPITAL MANAGEMENT CORP.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM397.8m	#Funds-
Adviser SOUTH BAY FINANCIAL PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM114.8m	#Funds-
Adviser SHFP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM88.9m	#Funds-
Adviser TOLSMA INVESTMENTS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM552.7m	#Funds-
Adviser MATSON 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-	AUM518.9m	#Funds-
Adviser SFC FINANCIAL LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM208.3m	#Funds-
Adviser LINDER FINANCIAL SERVICES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM163.6m	#Funds-
Adviser RIDGEBACK CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM171.5m	#Funds-
Adviser BAKER & YOEST INVESTMENT ADVISERS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM101.7m	#Funds-

Brochure Summary

Overview

Financial Resources Management, Inc. (FRM, the Firm) is an SEC Registered Investment Advisor (RIA). Registration does not imply a certain level of skill or training. FRM was incorporated in New York State on June 26, 2002, as the successor to the sole proprietorship practice of Howard Wiseman, CFP™. Howard Wiseman is the sole shareholder and only employee of FRM, Inc. The firm does not have any subsidiary or intermediate companies. The Certified Financial Planners Board of Standards requires that CFPTM professionals provide financial planning services at a fiduciary standard of care. This means CFP® professionals must provide financial planning services putting the best interests of their clients ahead of their own. FRM offers asset management services, wherein the firm is appointed Investor Advisor with non-discretionary trading authority in the client’s account. These services include quarterly or semi-annual portfolio analyses and the development of an

annual financial plan. The financial plan includes data gathering and analyses, along with specific recommendations, and includes long term follow-up, reporting, and monitoring. FRM is responsible for implementation in the clients account. Clients of our asset management services may also ask for additional advice regarding investments outside the scope of our management services (for example, a client may request that we review a private placement, private equity, or similar alternative investment opportunity on their behalf). Any requested advice outside of our standard management services will be billed on an hourly basis, as outlined below. As of December 31, 2023, FRM managed assets totaling $ 67,984,047 million on behalf of 56 client accounts. All services provided by FRM are tailored to the individual client’s needs, with respect to achieving their financial goals and asset level. The client may impose restrictions on investing in certain securities.

FINANCIAL RESOURCES MANAGEMENT, INC.

FINANCIAL RESOURCES MANAGEMENT, INC.

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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FINANCIAL RESOURCES MANAGEMENT, INC. FINANCIAL RESOURCES MANAGEMENT, INC.

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

FINANCIAL RESOURCES MANAGEMENT, INC.

FINANCIAL RESOURCES MANAGEMENT, INC.