9AT: KCD FINANCIAL, INC.

Adviser Profile

As of Date	07/17/2026
Registration	SEC, Approved, 03/16/2017
Other registrations (25)	Nevada, Terminated, 05/01/2017 California, Terminated, 04/30/2017 New Jersey, Terminated, 04/27/2017 Maryland, Terminated, 04/21/2017 Michigan, Terminated, 04/12/2017 Washington, Terminated, 04/10/2017 Colorado, Terminated, 04/07/2017 Minnesota, Terminated, 04/03/2017 North Carolina, Terminated, 04/03/2017 Arizona, Terminated, 03/31/2017 Florida, Terminated, 03/31/2017 Illinois, Terminated, 03/31/2017 Missouri, Terminated, 03/31/2017 Nebraska, Terminated, 03/31/2017 New York, Terminated, 03/31/2017 Ohio, Terminated, 03/31/2017 Texas, Terminated, 03/31/2017 Wisconsin, Terminated, 03/31/2017 Idaho, Terminated, 12/13/2011 Connecticut, Terminated, 12/12/2011 Montana, Terminated, 12/12/2011 Utah, Terminated, 11/23/2011 Oregon, Terminated, 06/14/2010 Kansas, Terminated, 12/31/2009 Indiana, Terminated, 12/31/2007
ADV Location	GREEN BAY, WI, United States
Contact Info	920 xxxxxxx
Websites

AUM^*	202,092,404 15%
of that, discretionary	202,092,404 15%
Number of Employees	29 -37%
of those in investment advisory functions	27 8%
Private Fund GAV^*	0
Avg Account Size	160,518 -36%
% High Net Worth	1.74% -28%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large 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
- Selection of other advisers

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 HIGHSTONE GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM263.9m	#Funds-
Adviser HOXTON WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM803.5m	#Funds-
Adviser AMERICAN INDEPENDENT SECURITIES GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM986.3m	#Funds-
Adviser BCG SECURITIES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM894.2m	#Funds-
Adviser KAHN FINANCIAL GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM122.6m	#Funds-
Adviser RICHARD G. SLATER	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM114.1m	#Funds-
Adviser VOYA 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-	AUM3.9b	#Funds-
Adviser INVICTA ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM310.2m	#Funds-
Adviser DONALD W. NICHOLSON & ASSOCIATES LTD	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM171.2m	#Funds-
Adviser OAKWOOD CAPITAL, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM304.2m	#Funds-

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

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