9AT: ROANOKE ASSET MANAGEMENT CORP

Adviser Profile

As of Date	08/06/2025
Registration status	Terminated
ADV Location	JERSEY CITY, NJ, United States
Contact Info	201 xxxxxxx
Websites

AUM^*	362,392,748 14%
of that, discretionary	362,392,748 14%
Number of Employees	4
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	3,045,317 14%
% High Net Worth	74.24% 2%
SMA’s	Yes
Private Funds	0 1

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

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

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 GORDIAN WEALTH ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM488.7m	#Funds-
Adviser GFG ALTERNATIVE INVESTMENT ADVISORS LLC	Hedge Fund599.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV599.6m	AUM599.6m	#Funds3
Adviser STONEPINE 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-	AUM347.8m	#Funds-
Adviser ACM	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM231.2m	#Funds-
Adviser BENGAL ASSET MANAGEMENT, LLC	Hedge Fund197.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV197.6m	AUM197.6m	#Funds4
Adviser KNUFF & COMPANY LLC	Hedge Fund8.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV8.8m	AUM393.9m	#Funds1
Adviser WATCHTOWER ADVISORS, LP	Hedge Fund289.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV289.5m	AUM289.5m	#Funds3
Adviser RIP ROAD CAPITAL PARTNERS LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM116.8m	#Funds-
Adviser PHARVISION ADVISERS, LLC	Hedge Fund54.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV54.0m	AUM513.2m	#Funds1
Adviser STEMPOINT CAPITAL LP	Hedge Fund584.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV584.4m	AUM761.3m	#Funds6

Brochure Summary

Overview

Roanoke Asset Management Corp. (referred to in this Brochure as "Roanoke" or “we”, “us” or "our") is a SEC- registered investment adviser with its principal place of business located in New Jersey. Roanoke began conducting business in 1978. As of 12/31/2023, Roanoke managed $317,882,483, all on a discretionary basis. Listed below are Roanoke's principal shareholders (i.e., those individuals and/or entities controlling 25% or more of this company). Edwin G. Vroom, President Adele S. Weisman, Senior Vice President Roanoke offers the following advisory services to our clients: INVESTMENT SUPERVISORY SERVICES ("ISS") INDIVIDUAL PORTFOLIO MANAGEMENT We provide continuous advice to our individual portfolio management clients regarding the investment of client funds based on the individual needs of the client. Through personal discussions in which goals and objectives based on a client's particular circumstances are established, we develop a client's particular investment policy and create and manage a portfolio based on that policy. During our data-gathering process, we determine the client’s objectives, time horizons, risk tolerance, and liquidity needs. As appropriate, we also review and discuss a client's prior investment history, including, in the case of individual clients, family composition and background. We manage these advisory accounts

on a discretionary basis. Account supervision is guided by the client's stated objectives (e.g., maximum capital appreciation, growth, income, growth and income, or preservation of capital), as well as tax considerations. Clients may impose reasonable restrictions on investing in certain securities, types of securities, or industry sectors. Our investment recommendations are not limited to any specific product or service offered by a broker-dealer or insurance company and will generally include advice regarding the following securities:
•Exchange-listed securities
•Securities traded over-the-counter
•Foreign issuers
•Corporate debt securities (other than commercial paper)
•Municipal securities
•United States governmental securities
•Options contracts on securities
•Interests in Roanoke Partners, L.P., a securities investment partnership that invests in small capitalization growth stocks. Roanoke Partners L.P. is an aggressive capital gains oriented-vehicle that engages in short sales and leverage. A related person of Roanoke serves as a General Partner of Roanoke Partners, L.P. Because some types of investments involve certain additional degrees of risk, they will only be implemented/recommended when consistent with the client's stated investment objectives, tolerance for risk, liquidity and suitability. ‐ 5 ‐

ROANOKE ASSET MANAGEMENT CORP

ROANOKE ASSET MANAGEMENT CORP

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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ROANOKE ASSET MANAGEMENT CORP ROANOKE ASSET MANAGEMENT CORP

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

ROANOKE ASSET MANAGEMENT CORP

ROANOKE ASSET MANAGEMENT CORP