9AT: BANORTE ASSET MANAGEMENT, INC.

Adviser Profile

As of Date	05/19/2026
Registration	SEC, Approved, 03/25/2019
ADV Location	HOUSTON, TX, United States
Contact Info	713 xxxxxxx
Websites

AUM^*	661,189,262 204%
of that, discretionary	516,791,604 476%
Number of Employees	40 38%
of those in investment advisory functions	17 31%
Private Fund GAV^*	0
Avg Account Size	760,862 100%
% High Net Worth	10.70% -5%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Selection of other advisers

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 TODO CAPITAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM143.6m	#Funds-
Adviser RISKBRIDGE ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM898.3m	#Funds-
Adviser 360 ONE PORTFOLIO MANAGERS LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund10.5m	Total Private Fund GAV10.5m	AUM3.6b	#Funds3
Adviser HOTTINGER	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 KDT ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM210.4m	#Funds-
Adviser MARCUARD FAMILY OFFICE LTD	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM8.7b	#Funds-
Adviser SCHRODER WEALTH MANAGEMENT (US) LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.4b	#Funds-
Adviser AZIMUT INVESTMENT ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.0b	#Funds-
Adviser MORI HUSTON PARTNERS	Hedge Fund5.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund26.0m	Total Private Fund GAV31.0m	AUM241.6m	#Funds2
Adviser ALLIE FAMILY OFFICE LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.3b	#Funds-

Brochure Summary

Overview

BAM is registered with the SEC as an investment adviser with its principal place of business located in Houston, Texas, USA. BAM began conducting business in 2001. Listed below are the Firm’s principal shareholders (i.e., those individuals and/or entities controlling 25% or more of this company).  Banorte Securities Holdings International Inc., sole shareholder of applicant. In addition, the following information identifies publicly held subsidiaries that indirectly own 25% or more of the Firm:  Casa de Bolsa Banorte S.A. de C.V., sole shareholder of AFIN INTERNATIONAL HOLDINGS, INC.  Grupo Financiero Banorte, S.A.B. de C.V., sole shareholder of Casa de Bolsa Banorte S.A. de C.V. BAM offers the following products and services to our clients: ADVISORY SERVICES – PORTFOLIO MANAGEMENT The Firm provides continuous asset management of client assets. Apart from the digital, discretionary account management provided through our BAM Digital division (see Wrap Fee Program Brochure in IARD), we manage our advisory accounts on both a discretionary and non-discretionary basis. Collectively, the non-discretionary and discretionary advisory accounts are referred to as “BAM Traditional.” Account supervision for

BAM Traditional accounts is guided by the client’s stated objectives (i.e., growth, income, speculation, etc.). LIMITATIONS: Individuals of BAM are registered as representatives of an affiliated broker-dealer and also as insurance agents. While this set of arrangements may connote that a conflict of interest could exist, strict procedures are in place to ensure that BAM’s Investment Advisor Representatives (“IAR”) always act in the best interest of their clients and place their interest above their own and that of the firms they represent. AMOUNT OF MANAGED ASSETS As of December 31, 2023, we were managing $89,706,289 of our clients’ assets on a discretionary basis. As of December 31, 2023, we were managing $127,856,034 of our clients’ assets on a non- discretionary basis. As of December 31, 2023, we were managing $217,562,323 of our client’s assets on a discretionary and non-discretionary” basis. INSURANCE POLICIES BAM is licensed as a life insurance agency with the State of Texas, and as such those persons licensed as insurance agents with BAM may offer clients life insurance products underwritten by those insurance companies with whom BAM has an agreement. Page 5 of 37Page 5 of 37

BANORTE ASSET MANAGEMENT, INC.

BANORTE ASSET MANAGEMENT, INC.

BAM DIGITAL

BANORTE WEALTH MANAGEMENT

BANORTE WEALTH ADVISORS

B.A.M. DIGITAL

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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BANORTE ASSET MANAGEMENT, INC. BANORTE ASSET MANAGEMENT, INC. BAM DIGITAL BANORTE WEALTH MANAGEMENT BANORTE WEALTH ADVISORS B.A.M. DIGITAL

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

BANORTE ASSET MANAGEMENT, INC.

BANORTE ASSET MANAGEMENT, INC.

BAM DIGITAL

BANORTE WEALTH MANAGEMENT

BANORTE WEALTH ADVISORS

B.A.M. DIGITAL