9AT: NEWE WEALTH MANAGEMENT LLC

Adviser Profile

As of Date	10/06/2024
Registration status	Terminated
ADV Location	SANTA CLARA, CA, United States
Contact Info	408 xxxxxxx
Websites

AUM^*	13,142
of that, discretionary	13,142
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	4,381
SMA’s	Yes
Private Funds	0

Adviser Type

- No longer eligible

Client Types

- Individuals (other than high net worth individuals)
- Other investment advisers

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Performance-based 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 SWAN GLOBAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.4b	#Funds-
Adviser SWAN GLOBAL INVESTMENTS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.4b	#Funds-
Adviser DIVERSIFIED 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-	AUM585.9m	#Funds-
Adviser RELIANT INVESTMENT MANAGEMENT, 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 CROSSMARK GLOBAL INVESTMENTS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM9.0b	#Funds-
Adviser BOND TECH INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM221.6m	#Funds-
Adviser EVESTIA FINANCIAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM33.3m	#Funds-
Adviser FAIRFAX GLOBAL INVESTMENT MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM147.7m	#Funds-
Adviser RETIREMENT PLAN ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.5b	#Funds-
Adviser MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund2.8b	Securitized Asset Fund-	Venture Capital Fund-	Other Fund75.0m	Total Private Fund GAV2.9b	AUM50.4b	#Funds6

Brochure Summary

Overview

A. Description of the Advisory Firm NewE Wealth Management LLC (hereinafter “NewE”) is a Limited Liability Company organized in the State of California. The firm was formed in August 2015, and the principal owners are Bei Zhang and Shi Chen. B. Types of Advisory Services Robo-Advisory Portfolio Management Services NewE provides “robo-advisory” portfolio management services through an online interface. This entails the use of algorithm-based portfolio management advice, rather than in-person investment advice. These automated investment solutions are customized to each client and based on individual characteristics, such as the client’s age, risk tolerance, income, and current assets, among others. NewE’s investment advisory personnel oversee the algorithm but may not monitor each client’s account. Clients are encouraged to update their account/questionnaire with any change in their objectives, risk tolerance, or other pertinent information, as that information factors into the portfolio’s composition. Services Limited to Specific

Types of Investments NewE generally limits its investment advice to ETFs. NewE may use other securities as well to help diversify a portfolio when applicable. C. Client Tailored Services and Client Imposed Restrictions NewE offers the same suite of services to all of its clients. However, specific client investment strategies and their implementation are dependent upon the client Investment Policy Statement which outlines each client’s current situation (income, tax levels, and risk tolerance levels). Clients may not impose restrictions in investing in certain securities or types of securities in accordance with their values or beliefs. D. Wrap Fee Programs A wrap fee program is an investment program where the investor pays one stated fee that includes management fees, transaction costs, fund expenses, and other administrative fees. NewE does not participate in any wrap fee programs. E. Assets Under Management NewE has the following assets under management: Discretionary Amounts: Non-discretionary Amounts: Date Calculated: $ 13,142.00 $ 0.00 December 2022

NEWE WEALTH MANAGEMENT LLC

NEWE WEALTH MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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NEWE WEALTH MANAGEMENT LLC NEWE WEALTH MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

NEWE WEALTH MANAGEMENT LLC

NEWE WEALTH MANAGEMENT LLC