9AT: PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC

Adviser Profile

As of Date	01/30/2026
Registration	SEC, Approved, 04/01/2022
Other registrations (2)	North Carolina, Terminated, 04/20/2022 Texas, Terminated, 12/02/2015
ADV Location	STATESVILLE, NC, United States
Contact Info	704 xxxxxxx
Websites

AUM^*	136,154,234 14%
of that, discretionary	136,154,234 14%
Number of Employees	3 -25%
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	796,224 -59%
% High Net Worth	31.67% 23%
SMA’s	No
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
- 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 FINANCIAL COUNCIL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.3b	#Funds-
Adviser GARY L. GREENBERG	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM141.1m	#Funds-
Adviser CITADEL INVESTMENT ADVISORY INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM278.3m	#Funds-
Adviser THE PALMER KNIGHT COMPANY	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM285.4m	#Funds-
Adviser PATRICK MAURO INVESTMENT ADVISOR, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM212.1m	#Funds-
Adviser SPRAKER WEST 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-	AUM265.3m	#Funds-
Adviser WEALTHCREST FINANCIAL SERVICES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM507.5m	#Funds-
Adviser COMPASS 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-	AUM682.5m	#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-
Adviser GPM GROWTH INVESTORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM281.3m	#Funds-

Brochure Summary

Overview

Form ADV Part 2A, Item 4 Professional Wealth Management Services LLC (“PWMS”) is a Registered Investment Adviser (RIA) and was founded in April 2007 by John Stevenson, who remains a managing member. Shawn Fleming is also a managing member. PWMS provides the following advisory services: 1) fee-only financial planning coupled with non-discretionary or discretionary investment advisory services to individuals and trusts where clients pay for trading costs (formally referred to as “PWMS Portfolio Management”), and 2) fee-only financial planning coupled with discretionary investment advisory services to individuals and trusts as part of a bundled, wrap fee program where clients do not pay for trading costs (formally referred to as “PWMS Wrap Fee Program”), and 3) one-time, flat/fixed fee financial planning services (formally referred to as “PWMS Financial Planning”).
The PWMS Portfolio Management service includes all PWMS Financial Planning services in addition to portfolio management on a discretionary or non-discretionary basis.
The PWMS Wrap Fee Program bundles the services

of PWMS Financial Planning and PWMS Portfolio Management to include asset allocation, portfolio management, trade execution, and any related administrative activities.
The PWMS Financial planning service may include discussion, analysis, and review of a specific or multiple aspects of financial planning and, therefore, may or may not include a one-time, written diagnostic plan depending on the needs and desires of the client.
All PWMS advisory services are tailored to the individual needs of the client based on thorough initial interviewing and periodic communication. PWMS Portfolio Management accounts and PWMS Wrap Fee Program accounts are managed based on the specific needs and risk tolerance of the client as derived from the client interview and risk assessment processes as well as ongoing communication. A client may impose restrictions based on quantitative factors such as tax management or qualitative factors such as social concerns.
As of January 1, 2024, PWMS manages $118,982,199.67 on a discretionary basis and no assets on a non- discretionary basis.

PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC

PROFESSIONAL WEALTH MANAGEMENT SERVICES 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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PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC

PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC