9AT: ORION CAPITAL MANAGEMENT LLC

Adviser Profile

As of Date	03/26/2026
Registration	SEC, Approved, 07/31/2020
Other registrations (3)	California, Terminated, 01/08/2021 Texas, Terminated, 12/09/2020 Louisiana, Terminated, 01/03/2018
ADV Location	CORONADO, CA, United States
Contact Info	(61 xxxxxxx
Websites

AUM^*	370,918,114 70%
of that, discretionary	370,514,457 70%
Number of Employees	4
of those in investment advisory functions	4 33%
Private Fund GAV^*	0
Avg Account Size	674,397 39%
% High Net Worth	42.29% 19%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- 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 MARK SHEPTOFF FINANCIAL PLANNING LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM466.5m	#Funds-
Adviser FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM137.5m	#Funds-
Adviser UPPER LEFT 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-	AUM201.1m	#Funds-
Adviser MASSO TORRENCE WEALTH MANAGEMENT INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM326.5m	#Funds-
Adviser FMF&E 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-	AUM357.6m	#Funds-
Adviser NOTTINGHAM WEALTH PARTNERS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM80.5m	#Funds-
Adviser OPINICUS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM297.1m	#Funds-
Adviser FREEDOM ADVISORY	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM880.6m	#Funds-
Adviser FRAZEE INVESTMENT CONSULTING, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM195.5m	#Funds-
Adviser CRAVENS & COMPANY WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM311.1m	#Funds-

Brochure Summary

Overview

Who We Are Orion Capital Management LLC (referred to as “we,” “our,” “us,” or “Orion”), has been registered as an investment advisor since June 2002. Our principal is Peter C. Thoms, CFA, Managing Member.
Services We Offer Investment Management We provide customized portfolio management for our advisory clients.
We employ a broad range of financial instruments to pursue our clients’ objectives, including, but not limited to, individual common and preferred stocks, exchange-traded funds, convertible stocks or bonds, mutual funds, closed-end stock and fixed income funds, REITS, options, warrants, rights and currency instruments as well as corporate, municipal and government bonds, notes and bills. For our accredited clients we may also employ the use of options and shorting of securities.
We devise, construct and manage for each client a customized portfolio that is suitable for his/her goals and financial circumstances. When a new client hires us, we have an initial discussion with the client to determine a mutually agreeable and appropriate investment strategy. We then consult regularly with our client to ensure that our strategy and asset allocation remain suitable and desirable. We make strategy and asset allocation changes as needed.
Our clients have the authority to restrict us from investing

in certain types of securities.
We do not provide portfolio management services to a wrap fee program.
Financial Planning In addition to our investment advisory services, we also offer financial planning.
We provide financial planning services on topics such as retirement planning, tax planning, risk management, college savings, cash flow, debt management, work benefits, and estate and incapacity planning.
In delivering our financial planning services, we do a detailed evaluation of a client's current and future financial state by using currently known variables to project future cash flows, asset values and withdrawal plans. Through the financial planning process, all questions, information and analysis will be considered as they affect and are affected by the entire financial and life situation of the client. Clients desiring a financial plan will receive a written or an electronic report that provides the client with a detailed financial plan designed to achieve his or her stated financial goals and objectives. As time passes and client circumstances change, we monitor the plan and recommend changes and/or updates to the plan.
Assets Under Management As of December 31, 2023, we managed assets of $218.2 million on a discretionary basis and $0.3 million on a non-discretionary basis.

ORION CAPITAL MANAGEMENT LLC

ORION CAPITAL MANAGEMENT LLC

AFRICA CAPITAL GROUP

ORION ASSET 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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ORION CAPITAL MANAGEMENT LLC ORION CAPITAL MANAGEMENT LLC AFRICA CAPITAL GROUP ORION ASSET MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

ORION CAPITAL MANAGEMENT LLC

ORION CAPITAL MANAGEMENT LLC

AFRICA CAPITAL GROUP

ORION ASSET MANAGEMENT LLC