9AT: KEYNOTE FINANCIAL SERVICES, LLC

Adviser Profile

As of Date	03/11/2026
Registration	SEC, Approved, 09/22/2022
Other registrations (1)	Connecticut, Terminated, 11/29/2022
ADV Location	VERNON, CT, United States
Contact Info	860 xxxxxxx
Websites

AUM^*	227,402,314 47%
of that, discretionary	227,402,314 47%
Number of Employees	2
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	424,258 37%
% High Net Worth	34.93% 30%
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

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges

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 ENLIGHTENED FINANCE LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM116.3m	#Funds-
Adviser MEREDITH WEALTH PLANNING	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM478.7m	#Funds-
Adviser PRIVATE HARBOUR INVESTMENT MANAGEMENT & COUNSEL LLC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM169.2m	#Funds-
Adviser REVISOR 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-	AUM2.5b	#Funds-
Adviser ASPIRE ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM109.2m	#Funds-
Adviser OAK TREE INVESTMENT ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM192.2m	#Funds-
Adviser COX 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-	AUM361.0m	#Funds-
Adviser WISDOM INDEX ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM221.3m	#Funds-
Adviser CAPITAL INVESTMENT COUNSEL INC	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-
Adviser MELD FINANCIAL, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM776.4m	#Funds-

Brochure Summary

Overview

ADVISORY BUSINESS A. Description of our business Keynote Financial Services, LLC (“KFS”) registered as an investment adviser in Connecticut in 2004. In 2022, KFS switched its registration to the U.S. Securities and Exchange Commission. Kent D. Zahner owns it 100%. Both James M. Desrocher and Kent D. Zahner are its investment advisor representatives. B. Description of advisory services we offer KFS is a small firm specializing in financial planning and investment management of client portfolios. Financial planning includes tax planning, insurance planning, retirement planning and estate planning. Financial planning services may include consultations and/or written financial plans, which analyze your financial situation and makes appropriate recommendations for strategies and methods of implementation of the strategies. When managing client portfolios, we take under consideration our clients’ personal financial situation, which includes employment status, cash reserves, investment account values, retirement account values, age, anticipated retirement date, other sources of income and their personal tolerance for risk and volatility. With this information, we then assist clients with implementing an appropriate investment strategy. We will monitor

and adjust the client portfolios in accordance with the investment strategy. When we manage your accounts, we use general securities (exchange listed stocks, over- the-counter stocks, pink sheet stocks, foreign issued stocks and bonds), mutual funds (including exchange traded funds or ETFs), government securities and options. If you want to invest in what are being called “alternative investments” such as managed futures, private equity, currency or hedge funds, we will help you select and monitor other money managers investing in alternative investments. C. If, or how we tailor our advisory services to your individual needs All of our clients are different, so we tailor our services to meet your needs by consultations to discover your individual hopes, goals, and dreams. Then we analyze your current investments and make suggestions on how to meet your objectives. Of course, you may impose restrictions on investing in certain securities or types of securities. It is your portfolio, after all. (Please refer to Item 16.) D. Wrap fee programs KFS does not participate in wrap-fee programs. E. Amount of assets we manage As of February 29, 2024, KFS managed approximately $154,749,434 on a discretionary basis and $0 on a non-discretionary basis.

KEYNOTE FINANCIAL SERVICES, LLC

KEYNOTE FINANCIAL 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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KEYNOTE FINANCIAL SERVICES, LLC KEYNOTE FINANCIAL SERVICES, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

KEYNOTE FINANCIAL SERVICES, LLC

KEYNOTE FINANCIAL SERVICES, LLC