9AT: ELIOS FINANCIAL GROUP, INC.

Adviser Profile

As of Date	03/16/2026
Registration	SEC, Approved, 08/10/2018
Other registrations (1)	Ohio, Terminated, 10/23/2018
ADV Location	WESTLAKE, OH, United States
Contact Info	440 xxxxxxx
Websites

AUM^*	331,500,000 29%
of that, discretionary	316,689,000 44%
Number of Employees	2 -60%
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	311,560 9%
% High Net Worth	42.07% 29%
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
- Subscription fees (for a newsletter or periodical)
- Commissions

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 IPSEN ADVISOR GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM236.1m	#Funds-
Adviser MAXWELL WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM290.0m	#Funds-
Adviser SOVEREIGN FINANCIAL GROUP, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.1b	#Funds-
Adviser VICUS CAPITAL, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.0b	#Funds-
Adviser ZERMATT WEALTH PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM158.4m	#Funds-
Adviser TOWER WEALTH PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM440.4m	#Funds-
Adviser SAGE ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM575.1m	#Funds-
Adviser STERNECK CAPITAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM327.9m	#Funds-
Adviser KARAGOSIAN 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-	AUM26.8m	#Funds-
Adviser SUMMIT WEALTH PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM675.7m	#Funds-

Brochure Summary

Overview

We offer our services to individuals, families, pension and profit-sharing plans, trusts, estates, charitable organizations and corporations or other business. We may require a minimum account balance. Third-Party Advisers may have a minimum account size. Please refer to the Third-Party’s Form ADV Part 2A for details. Wrap Fee Program Disclosures
• The benefits under a wrap fee program depend, in part, upon the size of the account, the costs associated with managing the account, and the frequency or type of securities transactions executed in the account.
• For example, a wrap fee program may not be suitable for all accounts, including but not limited to accounts holding primarily, and for any substantial period of time, cash or cash equivalent investments, fixed income securities or no-transaction-fee mutual funds, or any other type of security that can be traded without commissions or other transaction fees.
• In order to evaluate whether a wrap fee arrangement is appropriate for you, you should compare the agreed-upon Wrap Program Fee and any other costs associated with participating in our Wrap Fee Program with the amounts that would be charged by other advisers, broker- Elios Financial Group, Inc. Page 7 Appendix 1 –

3/22/2024 dealers, and custodians, for advisory fees, brokerage and execution costs, and custodial services comparable to those provided under the Wrap Fee Program. Conflict of Interest. When managing a client's account on a wrap fee basis, we receive as compensation for our investment advisory services, the balance of the total wrap fee you pay after custodial, trading and other management costs (including execution and transaction fees) have been deducted. Accordingly, we have a conflict of interest because we have a financial incentive to maximize our compensation by seeking to reduce or minimize the total costs incurred in your account(s) subject to a wrap fee.
• For example, our wrap fee arrangement creates incentives for our advisers to trade less frequently or select investments that that reduce our costs, and in some cases increase expenses that are borne by the client. Additionally, Schwab generally does not charge commissions [or transaction fees] for online trades of U.S. exchange-listed equities, U.S. exchange-listed ETFs, and no-transaction-fee (“NTF”) mutual funds. This means that, in most cases, when we buy these types of securities, we can do so without paying commissions to Schwab.

ELIOS FINANCIAL GROUP, INC.

ELIOS FINANCIAL GROUP, INC.

JAMES T. ELIOS, MBA A REGISTERED INVESTMENT ADVISOR

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

Need help?

Send a question to 9AT support.

ELIOS FINANCIAL GROUP, INC. ELIOS FINANCIAL GROUP, INC. JAMES T. ELIOS, MBA A REGISTERED INVESTMENT ADVISOR

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

ELIOS FINANCIAL GROUP, INC.

ELIOS FINANCIAL GROUP, INC.

JAMES T. ELIOS, MBA A REGISTERED INVESTMENT ADVISOR