9AT: VAUBAN WEALTH MANAGEMENT

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 11/08/2019
ADV Location	GUAYNABO, PR, United States
Contact Info	1-7 xxxxxxx

AUM^*	181,187,478 24%
of that, discretionary	27,429,808 54%
Number of Employees	2
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	3,070,974 7%
% High Net Worth	49.15% -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
- Corporations or other businesses not listed above

Advisory Activities

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

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

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 UP FINTECH ASSET MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.5m	#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 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 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 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 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 COLLEGA CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM81.4m	#Funds-
Adviser GREENWOOD FAMILY ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM327.1m	#Funds-
Adviser NAVALFA ACTIVOS ALTERNATIVOS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM9.4m	#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-

Brochure Summary

Overview

A. Firm Information Vauban Wealth Management, Corporation (“VWM”, “Vauban Wealth Management” or the “Advisor”) is a registered investment advisor with the SEC organized as a corporation under the laws of the Commonwealth of Puerto Rico. Founded in July 2019, VWM is owned by Laperouse LTD, a company registered in the Bahamas. Mr. Hubert Francois-Poncet owns 100% of Laperouse LTD. This Disclosure Brochure provides information regarding the qualifications, business practices and advisory services provided by Vauban Wealth Management. B. Advisory Services Offered VWM offers account management services to clients (“Clients”) on either a discretionary basis, where the Client authorizes VWM to make all investment decisions for the account, or on a non- discretionary basis, where VWM makes recommendations to the Client but all investment decisions are made by the Client and may or may not be implemented by the Client. All Client assets will be managed pursuant to the Client’s selected investment strategy. The investment strategies offered by VWM are as follows: a) Income: exclusively invested in fixed income securities b) Conservative: predominantly invested in fixed income securities c) Balanced: balanced allocation of fixed income securities and equities d) Dynamic Growth: predominantly invested in equities e) Aggressive Equity: quasi exclusively invested in equities f) Alternative: A large part of the portfolio may be invested in alternative investments. A Client may impose

reasonable restrictions on the investments to be made by VWM. Clients should be aware that their restrictions can limit VWM’s ability to act and as a result, their performance may differ from other accounts that are not subject to similar restrictions. VWM shall not be bound by any amendment to a Client’s investment restrictions unless and until the Client and VWM have agreed in writing to such amendment. C. Client Account Management Prior to engaging VWM to provide investment advisory services, each Client is required to enter into one or more investment advisory agreements with the Advisor that defines the terms, conditions, authority and responsibilities of the Advisor and the Client. The services provided by VWM may include:
• Establishing an Investment Strategy
• Asset Allocation
• Portfolio construction and implementation
• Investment Management and Supervision VWM is committed to treat Clients in a fair and equitable manner and render impartial advice making recommendations based on the Client’s needs, financial circumstances and investment objectives. Also, VWM will manage and disclose any material conflict of interest in writing. D. Wrap Fee Program Vauban Wealth Management does not participate in a wrap fee program. E. Assets Under Management As of December 31, 2022, VWM manages approximately $146,344,7694 When $17,766,621 of that total is on a Discretionary basis and $128,578,147 is on a Non-Discretionary basis.

VAUBAN WEALTH MANAGEMENT

VAUBAN WEALTH MANAGEMENT

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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VAUBAN WEALTH MANAGEMENT VAUBAN WEALTH MANAGEMENT

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

VAUBAN WEALTH MANAGEMENT

VAUBAN WEALTH MANAGEMENT