9AT: UP FINTECH ASSET MANAGEMENT

Adviser Profile

As of Date	04/01/2026
Registration	SEC, Approved, 10/08/2018
Other registrations (1)	Pennsylvania, Terminated, 10/25/2018
ADV Location	NEWTOWN SQUARE, PA, United States
Contact Info	480 xxxxxxx
Websites

AUM^*	1,500,000 -51%
of that, discretionary	1,500,000 87%
Number of Employees	2 -75%
of those in investment advisory functions	2 -67%
Private Fund GAV^*	0
Avg Account Size	375,000 -15%
% High Net Worth	100.00%
SMA’s	Yes
Private Funds	0

Adviser Type

- Internet adviser

Client Types

- High net worth individuals

Advisory Activities

- 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 VAUBAN WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM181.2m	#Funds-
Adviser KOTAK ALTERNATE ASSET MANAGERS LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund448.6m	Total Private Fund GAV448.6m	AUM18.5b	#Funds5
Adviser BR CAPITAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM568.4m	#Funds-
Adviser SQUARE ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM295.5m	#Funds-
Adviser KOMOREBI GLOBAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM69.4m	#Funds-
Adviser ALTHUM ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.0b	#Funds-
Adviser WAYPOINT 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-	AUM141.3m	#Funds-
Adviser LEGADO 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-	AUM51.0m	#Funds-
Adviser HILBERT 8, LLC	Hedge Fund13.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV13.8m	AUM47.2m	#Funds1
Adviser VITRAL ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM154.8m	#Funds-

Brochure Summary

Overview

Wealthn LLC d/b/a UP Fintech Asset Management (the “Firm”) is a Delaware limited liability company formed in 2016 with its principal place of business in Pennsylvania, United States. The Firm is an indirect wholly owned subsidiary of Up Fintech Holding Ltd (NASDAQ: TIGR). The Firm was initially registered as an investment adviser with the Pennsylvania Department of Banking and Securities until filing for registration with the U.S. Securities and Exchange Commission in September 2018. The Firm is also registered as a Commodity Trading Adviser and Commodity Pool Operator with the Commodity Futures Trading Commission and is a member of the National Futures Association. The Firm primarily provides investment advisory services to U.S. and non-U.S. individuals and institutions (each a “Client”, collectively herein the “Clients”) through its online software-based investment advisory and portfolio management service (commonly referred to as Internet or robo-advisory services). Investment advisory and portfolio management services are provided through the Firm’s website and developed using a series of quantitative-based algorithms in consultation with information provided by the Client pursuant to their specific investment objectives and guidelines. Clients have limited

ability to impose restrictions on investing other than as provided in the specific online investment questionnaires. The Firm monitors Client portfolios to ensure consistency with stated objectives, with the Firm having discretion over investment selection and trading. Client portfolios will generally be invested in exchange-traded funds and mutual funds (“Funds”) to gain broad market exposure to specified sectors, industries, markets, or securities. Investments in Funds include an embedded investment management fee and related expenses paid to the applicable Fund investment adviser, as well as other fees and expenses associated with the operating, purchasing, and selling of the applicable Fund, all of which are borne by the Client. As such, Client portfolios are subject to several layers of advisory fees and expenses on the portion of their account invested in Funds; including fees and expenses charged by the Firm and fees and expenses charged by the Funds’ investment advisers. Clients are responsible for all fees and expenses charged by an applicable Fund, in addition to the management fee charged by the Firm. As of December 31, 2023, the Firm manages approximately $802,969 in assets on a discretionary basis and $2,277,222 on a non-discretionary basis.

UP FINTECH ASSET MANAGEMENT

UP FINTECH ASSET MANAGEMENT

TIGERSHARES

WEALTHN LLC

WEALTHN

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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UP FINTECH ASSET MANAGEMENT UP FINTECH ASSET MANAGEMENT TIGERSHARES WEALTHN LLC WEALTHN

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

UP FINTECH ASSET MANAGEMENT

UP FINTECH ASSET MANAGEMENT

TIGERSHARES

WEALTHN LLC

WEALTHN