9AT: AGATE PASS INVESTMENT, LLC

Adviser Profile

As of Date	03/03/2026
Registration	SEC, Approved, 04/15/2019
Other registrations (1)	Washington, Terminated, 04/24/2019
ADV Location	BAINBRIDGE ISLAND, WA, United States
Contact Info	206 xxxxxxx
Websites

AUM^*	336,046,126 48%
of that, discretionary	336,046,126 48%
Number of Employees	5 25%
of those in investment advisory functions	4 33%
Private Fund GAV^*	0
Avg Account Size	1,050,144 28%
% High Net Worth	72.58% 4%
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 VIAWEALTH, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM260.7m	#Funds-
Adviser SEQUOIA WEALTH MANAGEMENT GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM238.4m	#Funds-
Adviser NBZ 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-	AUM431.2m	#Funds-
Adviser SIGMA INVESTMENT COUNSELORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.2b	#Funds-
Adviser ENGRAVE 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-	AUM664.4m	#Funds-
Adviser PARAGON 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-	AUM739.8m	#Funds-
Adviser PARADIGM CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM173.4m	#Funds-
Adviser TL PRIVATE WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM364.5m	#Funds-
Adviser BOSTON 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-	AUM103.7m	#Funds-
Adviser FOUNDATION 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-	AUM411.9m	#Funds-

Brochure Summary

Overview

Agate Pass Investment Management, LLC (hereinafter “Agate”) is a registered investment advisor that provides portfolio management services to its clients. Agate opened for business November 2010. Agate is owned by Brad Van Aken and Dan Rutter. Through the use of detailed discussions and interviews Agate analyzes existing assets, including allocation among asset classes, develops an asset allocation plan for each client portfolio; and selects specific equity and fixed income securities designed to assist the Client in reaching his or her stated goals and objectives. Agate makes some limited use of mutual funds and exchange traded funds for investments; however, the majority of investments will be in shares of individual stocks and bonds. Agate develops and recommends investment strategies based on each Client's goals, investment experience, time horizon, tolerance for risk, and tax situation. Agate constructs investment portfolios to meet individual client objectives. Portfolio management services will be made using discretionary authority given by the client. The investment process begins with the development of an Investment Policy and Guideline statement tailored specifically for each client. Working with our clients, we analyze existing assets and asset allocation, and review the client’s objectives, time horizon, tolerance for risk, liquidity, income needs, and tax situation. From this process, we recommend and establish policies and guidelines

for the management of each client’s portfolio. We select specific equity and fixed income securities in a portfolio designed to assist each client in reaching their goals and objectives. This process is ongoing, with adjustments made over time as each individual’s unique circumstances change. Clients may impose reasonable restrictions on investing in certain securities or types of securities. When we recommend that you rollover retirement assets or transfer existing retirement assets, such as a 401(k) or an IRA, to our management, we have a conflict of interest. This is because we will generally earn additional revenue when we manage more assets. In making the recommendation, however, we do so only after determining that the recommendation is in your best interest. Further, in making any recommendation to transfer or rollover retirement assets, we do so as a “fiduciary,” as that term is defined in ERISA or the Internal Revenue Code, or both. We also acknowledge we are a fiduciary under ERISA or the Internal Revenue Code with respect to our ongoing investment advisory recommendations and discretionary asset management services, as described in the advisory agreement we execute with you. To the extent we provide non-fiduciary services to you, those will be described in the advisory agreement. As of December 31, 2022, Agate managed $201,396,839 of client assets on a discretionary basis. Agate manages no assets on a non-discretionary basis.

AGATE PASS INVESTMENT, LLC

AGATE PASS INVESTMENT, LLC

AGATE PASS INVESTMENT MANAGEMENT, LLC

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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AGATE PASS INVESTMENT, LLC AGATE PASS INVESTMENT, LLC AGATE PASS INVESTMENT MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

AGATE PASS INVESTMENT, LLC

AGATE PASS INVESTMENT, LLC

AGATE PASS INVESTMENT MANAGEMENT, LLC