9AT: NEWGROUND SOCIAL INVESTMENT

Adviser Profile

As of Date	03/27/2026
Registration	SEC, Approved, 03/25/2022
Other registrations (1)	Washington, Terminated, 05/09/2022
ADV Location	SEATTLE, WA, United States
Contact Info	(20 xxxxxxx
Websites

AUM^*	161,124,440 24%
of that, discretionary	160,984,256 24%
Number of Employees	3
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	429,665 34%
% High Net Worth	40.46% 47%
SMA’s	No
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
- Portfolio management for businesses
- Selection of other advisers

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 NAPA WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM266.7m	#Funds-
Adviser TABR 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-	AUM241.2m	#Funds-
Adviser DYNAMIC TRADING MANAGEMENT, LLC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM116.6m	#Funds-
Adviser ARTIFEX FINANCIAL GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM328.7m	#Funds-
Adviser OSTROFE FINANCIAL CONSULTANTS INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM386.4m	#Funds-
Adviser SYMPHONY FINANCIAL, LTD. CO.	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 CASCADE INVESTMENT GROUP, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM419.9m	#Funds-
Adviser INTEGRATED WEALTH STRATEGIES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM151.7m	#Funds-
Adviser FINANCIAL CONCEPTS UNLIMITED, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM231.4m	#Funds-
Adviser GLEN EAGLE 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-

Brochure Summary

Overview

Firm Description Since 1994, Newground has provided socially responsible, ESG-SRI 2 impact money management services to individuals and institutions who are principled, proactive, and inspired by the opportunity to make a difference with their investments. Our clients seek to meet financial goals in a way that is consistent with their values, beliefs, or mission in the world. Newground’s Chief Executive is Bruce Herbert, who:
• Began his career in the securities industry with Merrill Lynch, in 1984.
• Has focused exclusively on responsible impact investment since before 1986.
• Founded Newground in 1994. Types of Services Offered Newground specializes in values-aligned money management and financial planning / wealth management for individuals and institutions. The firm offers individually-managed accounts that generally use individual securities for larger accounts and mutual funds for smaller ones. Newground works with each client to develop a customized Portfolio Allocation Statement (PAS) or Investment Policy Statement (IPS) that specifies how each account will

be managed. Areas of planning and asset management can address client needs involving inheritance, philanthropy, retirement, liquidity events, stock grants (RSUs), and college savings, among other areas. Newground typically coordinates its service with other professional service providers, including tax accountants and estate attorneys. Individualized Advisory Services Client portfolios can be highly individualized to meet financial needs, and to address social, environmental, and governance (ESG) concerns. Many options exist to address ESG-SRI concerns and to create positive impact, including:
• Security selection or exclusion – commonly called screening.
• Portfolio allocations directed toward impact or community investment.
• Shareholder engagement and proxy voting. Wrap-fee Programs Newground does not offer or participate in any form of wrap-fee program. Assets Under Management As of 12/31/2023 Newground managed, on a discretionary basis, approximately $130 million in assets under management. ––––––––––––––––––––– 2 ESG = Environmental, Social & Governance criteria; SRI = Socially Responsible Investment. March 28, 2024 | Page 5 of 13

NEWGROUND SOCIAL INVESTMENT

NEWGROUND SOCIAL INVESTMENT

NEWGROUND INVESTMENT SERVICES, INC.

NEWGROUND SOCIAL INVESTMENT, SPC

NEWGROUND SOCIAL INVESTMENT, INC.

NEWGROUND INVESTMENT SERVICES, OR NEWGROUND

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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NEWGROUND SOCIAL INVESTMENT NEWGROUND SOCIAL INVESTMENT NEWGROUND INVESTMENT SERVICES, INC. NEWGROUND SOCIAL INVESTMENT, SPC NEWGROUND SOCIAL INVESTMENT, INC. NEWGROUND INVESTMENT SERVICES, OR NEWGROUND

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

NEWGROUND SOCIAL INVESTMENT

NEWGROUND SOCIAL INVESTMENT

NEWGROUND INVESTMENT SERVICES, INC.

NEWGROUND SOCIAL INVESTMENT, SPC

NEWGROUND SOCIAL INVESTMENT, INC.

NEWGROUND INVESTMENT SERVICES, OR NEWGROUND