9AT: CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

other names

Adviser Profile

As of Date	06/07/2024
Adviser Type - Large advisory firm - Related adviser
Number of Employees	176 -1.68%
of those in investment advisory functions	65 -4.41%
Registration	SEC, Approved, 05/20/2021

AUM^*	34,013,068,240 10.07%
of that, discretionary	31,049,039,715 9.54%
Private Fund GAV^*	98,296,050
Avg Account Size	3,092,659 -2.07%
% High Net Worth	88.00% 0.39%
SMA’s	No
Private Funds	1
Contact Info	213 xxxxxxx
Websites

Client Types

- High net worth individuals
- Pooled investment vehicles
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

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

Compensation Arrangments

- A percentage of assets under your management

Fund Type	Count	GAV
Fund TypeOther Private Fund	Count1	GAV$98,296,050

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 JARISLOWSKY FRASER LTD	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund30.2m	Total Private Fund GAV30.2m	AUM34.2b	#Funds1
Adviser CALAMOS ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund155.9m	Total Private Fund GAV155.9m	AUM33.7b	#Funds2
Adviser CAUSEWAY CAPITAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund1.0b	Total Private Fund GAV1.0b	AUM40.6b	#Funds11
Adviser JASPER RIDGE PARTNERS, L.P.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund10.7b	Total Private Fund GAV10.7b	AUM35.3b	#Funds13
Adviser FUNDSMITH, LLP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund1.2b	Total Private Fund GAV1.2b	AUM37.5b	#Funds3
Adviser POLEN CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund117.9m	Total Private Fund GAV117.9m	AUM43.2b	#Funds1
Adviser GLOBAL X MANAGEMENT COMPANY LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM43.8b	#Funds-
Adviser RUFFER LLP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund5.8b	Total Private Fund GAV5.8b	AUM27.1b	#Funds1
Adviser STEPSTONE GROUP EUROPE ALTERNATIVE INVESTMENTS LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund1.3b	Total Private Fund GAV1.3b	AUM33.0b	#Funds3
Adviser PENN MUTUAL ASSET MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund68.6m	Total Private Fund GAV68.6m	AUM33.7b	#Funds1

Brochure Summary

Overview

CGPCS is a wholly-owned subsidiary of Capital Group International, Inc. which in turn is owned by Capital Research and Management Company, which is wholly owned by The Capital Group Companies, Inc (“CGC”). The Capital Group Companies form one of the most experienced families of investment management firms in the world, dating to 1931, and have always been privately held. CGPCS was incorporated in California in 2020 and its primary business is providing investment management and related services primarily to high net-worth individuals and charitable organizations. These services include investments in separate securities and in mutual funds, exchange-traded funds (“ETFs”) and other pooled investment vehicles (such funds and investment vehicles, “pooled funds”). CGPCS’s investment approach is based on rigorous fundamental analysis. CGPCS’s offerings of equity, fixed-income, balanced, and other investment strategies are informed by the client’s investment profile, which takes into consideration a number of factors including their investment objectives and goals, investment time horizon, risk tolerance and guidelines (including any specific investment restrictions and limitations). In connection with our management of client accounts, CGPCS allocates client assets among individual securities (such accounts, “Separate Accounts”), one or more pooled funds, and separately managed accounts (“SMA Programs”). In connection with its services, CGPCS will engage certain affiliates to provide investment research, portfolio management, securities trading and related services. In addition, with respect to SMA Programs, CGPCS may engage one or more sub-advisers that may or may not be affiliated with CGPCS (each, a “Sub-adviser”) to provide discretionary portfolio management, securities trading, and related services based on models provided by an affiliate of CGPCS. Where Sub-adviser exercises discretionary authority over accounts in a SMA Program, and/or where the client imposes non-standard restrictions, the holdings, returns and guidelines of the client’s account in such program may differ from the corresponding CGPCS

strategy or model portfolio from time to time. Clients with assets allocated to a Separate Account or SMA Program should carefully review the disclosures provided by CGPCS, as well as any Sub-adviser or other underlying manager regarding their services and fees. CGPCS will review and assess the suitability of pooled funds, Separate Accounts and SMA Programs for clients based on their individual investment profiles. CGPCS may also engage in periodic reviews of Sub-advisers and other underlying managers. Investment strategies that seek to enhance after-tax performance, including in SMA Programs, may be unable to fully realize strategic gains or harvest losses due to various factors. Market conditions may limit the ability to generate tax losses. Tax-loss harvesting also involves the risks that the new investment could perform worse than the original investment and that transaction costs could offset the tax benefit. In addition, a tax-managed strategy may cause a client portfolio to, regardless of investment conviction, hold a security in order to achieve more favorable tax treatment or to sell a security in order to create tax losses. A tax loss realized by a U.S. client after selling a security will not be usable if the client purchases the same or a substantially identical security within thirty days before or after the sale. This is called a “wash sale” and can occur inadvertently where CGPCS or its Sub-advisers manage more than one account owned by a client, or where a client trades in other portfolios not managed by CGPCS or its Sub-advisers. Please also refer to Items 8 (Methods of Analysis, Investment Strategies and Risk of Loss) and 16 (Investment Discretion) in this brochure for further information. As described above, CGPCS’s only business is investment management and related services; it does not provide retail banking services nor does it engage in the brokerage or corporate finance businesses. As of June 30, 2023, CGPCS managed approximately $31,049,000,000 in client assets (regulatory assets under management) on a discretionary basis and $2,964,000,000 on a non- discretionary basis.

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CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

Adviser Profile

Details

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

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Brochure Summary

Overview