9AT: WATERSTONE INVESTMENT COUNSEL, LLC

Adviser Profile

As of Date	03/06/2024
Registration status	Terminated
ADV Location	CINCINNATI, OH, United States
Contact Info	513 xxxxxxx
Websites

AUM^*	140,720,552 -17%
of that, discretionary	140,549,726 -14%
Number of Employees	3
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	304,590 -17%
% High Net Worth	34.42% -1%
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

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 UNITED WEALTH MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM406.6m	#Funds-
Adviser CROWN WEALTH GROUP LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM437.5m	#Funds-
Adviser PEAK PLANNING GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM710.0m	#Funds-
Adviser SNIDER FINANCIAL GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM549.7m	#Funds-
Adviser THE MCHUGH GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM331.3m	#Funds-
Adviser INDEPENDENCE SQUARE HOLDINGS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.8b	#Funds-
Adviser ASCENTIS INDEPENDENT ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.1b	#Funds-
Adviser RIVER CITY WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM179.6m	#Funds-
Adviser CFO 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-	AUM243.9m	#Funds-
Adviser MINERVA PLANNING GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM236.9m	#Funds-

Brochure Summary

Overview

Advisory Firm WaterStone Investment Counsel, LLC (WaterStone) has been providing investment management services since 1995. Don Brosz is a Managing Partner and one of the founding members of WaterStone. Don has been in the financial services industry since 1980. Mark Roberts is the other Managing Partner of WaterStone and he has been in the financial services industry since 1982. Advisory Services WaterStone Investment Counsel provides investment management services which may also be called asset management services or program. As of December 31, 2022, WaterStone Investment Counsel has $140,549,726 of assets under supervision/management on a discretionary basis, and $170,826 of assets under supervision/management on a non-discretionary basis for a total of $140,720,552. Services are based on the individual needs of the client. An initial interview and data gathering questionnaire is undertaken to determine the client’s financial situation and investment objectives, and to give the client the opportunity to impose reasonable restrictions on the management of the account. Clients have the option to leave standing instructions with the IA Rep to refrain from investing in particular securities or types of securities or invest in limited amounts of securities. Quarterly, the IA Rep will notify the client in writing to contact the IA Rep

if there have been any changes in the client’s financial situation or investment objectives, or to impose or modify account restrictions. The IA Rep will contact or attempt to contact the client annually on these matters. It is the client’s responsibility to notify the IA Rep at any time there are changes. Clients may call in at any time during normal business hours to discuss directly with the IA Rep about the client’s account, financial situation, or investment needs. Clients will receive from the custodian firm timely confirmations and at least quarterly statements containing a description of all transactions and all account activity. The client will retain rights of ownership of all securities and funds in the account to the same extent as if the client held the securities and funds outside the program. In addition to custodial statements, WaterStone Investment Counsel sends monthly reports to the client. WaterStone Investment Counsel provides Financial Plans consistent with the individual client’s financial and tax status and risk/reward objectives. Planning may be comprehensive, or segmented and focus on investments, insurance taxes, and/or estate plans. On occasion we hold seminars. These seminars may include presentations on various securities and insurance products, or on financial planning strategies. A fee is not charged to those in attendance.

WATERSTONE INVESTMENT COUNSEL, LLC

WATERSTONE INVESTMENT COUNSEL, LLC

BULL GROUP ADVISORS LTD

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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WATERSTONE INVESTMENT COUNSEL, LLC WATERSTONE INVESTMENT COUNSEL, LLC BULL GROUP ADVISORS LTD

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

WATERSTONE INVESTMENT COUNSEL, LLC

WATERSTONE INVESTMENT COUNSEL, LLC

BULL GROUP ADVISORS LTD