9AT: PROVIDER FINANCIAL, INC.

Adviser Profile

As of Date	02/07/2026
Registration	SEC, Approved, 05/31/2018
Other registrations (3)	Florida, Terminated, 10/10/2018 Indiana, Terminated, 10/10/2018 Texas, Terminated, 11/29/2016
ADV Location	INDIANAPOLIS, IN, United States
Contact Info	(31 xxxxxxx
Websites

AUM^*	303,974,168 27%
of that, discretionary	303,974,168 27%
Number of Employees	3 50%
of those in investment advisory functions	2 100%
Private Fund GAV^*	0
Avg Account Size	413,570 34%
% High Net Worth	41.58% 118%
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

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges

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 FLYING POINT FINANCIAL, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM206.7m	#Funds-
Adviser INVARIANT INVESTMENT MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM182.7m	#Funds-
Adviser MATTSON FINANCIAL SERVICES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM515.0m	#Funds-
Adviser ASG 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-	AUM234.8m	#Funds-
Adviser TOAMS FINANCIAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM108.8m	#Funds-
Adviser HERITAGE 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-	AUM155.0m	#Funds-
Adviser PARADY WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM145.7m	#Funds-
Adviser SCHAFFER & COMPANY ASSET MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM90.8m	#Funds-
Adviser OCEAN PARK ASSET MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM146.8m	#Funds-
Adviser RETIREMENT STRATEGIES, LTD.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM272.7m	#Funds-

Brochure Summary

Overview

A. OWNERSHIP/ADVISOR HISTORY Provider Financial, Inc. (“We”) was formed in October 2007 as an Indiana corporation. It was subsequently registered as an Indiana investment adviser in 2013 and became SEC registered in 2018, We are owned by Robert L. Malmquist. Mr. Malmquist is the president and additional information about Mr. Malmquist can be found in his supplemental brochure. B. ADVISORY SERVICES OFFERED Before we enter into an Adviser-Client relationship, we may offer a complimentary general consultation to discuss services available, give a prospective client time to review services desired, and determine whether a relationship might benefit the client. Investment advisory services begin only after we and the client formalize the relationship with a properly executed agreement. We offer the following services to our clients: i. FINANCIAL PLANNING SERVICES We create a written financial plan that typically focuses on one or more specific areas such as financial and cash management, risk management, financial issues relating to divorce or death of a family member, tax issues, retirement planning, educational funding, goal setting, or other needs identified by the client or by our review of the client’s financial circumstances. Through discussion with the client and/or questionnaires, we will collect pertinent data, identify goals, objectives, financial concerns and potential solutions. We will present the client with a written analysis. Following the conclusion

of the consulting services, we may make recommendations regarding implementation of the financial strategies discussed. ii. PORTFOLIO MANAGEMENT SERVICES We manage individualized portfolios for our clients on a discretionary basis through our wrap fee program. We work with each client to formulate an individualized portfolio based upon his/her objectives, time frame, risk parameters and other investment considerations. We use marketable securities that can include mutual funds, exchange traded funds, stock and money markets instruments. Our investment philosophy is to use principles of value, safety and quality to seek investment options globally. Clients will be given a copy of our Appendix 1, which contains a description of the service, the fee and any conflicts of interest associated. C. TAILORED SERVICES We tailor all of our services to the client’s stated goals, needs and objectives. For our portfolio management service clients, we allow them to impose restrictions on investment in certain securities or types of securities. All restrictions must be presented to us in writing. D. WRAP PROGRAM We are a portfolio manager to, the Provider Financial Inc. Wrap Program. Please see Appendix 1 for details. Provider Financial, Inc. Page 5 ADV Part 2A – 02/1/2024 E. CLIENTS ASSETS MANAGED As of December 31, 2023, we manage approximately $240,000,000 in discretionary assets and $0 in nondiscretionary assets.

PROVIDER FINANCIAL, INC.

PROVIDER FINANCIAL, INC.

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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PROVIDER FINANCIAL, INC. PROVIDER FINANCIAL, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

PROVIDER FINANCIAL, INC.

PROVIDER FINANCIAL, INC.