9AT: SHEETS SMITH WEALTH MANAGEMENT

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 02/12/1988
ADV Location	WINSTON SALEM, NC, United States
Contact Info	336 xxxxxxx
Websites

AUM^*	1,365,130,877 28%
of that, discretionary	1,365,130,877 28%
Number of Employees	15
of those in investment advisory functions	11 10%
Private Fund GAV^*	0
Avg Account Size	1,275,823 13%
% High Net Worth	41.13% 15%
SMA’s	Yes
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
- Other investment advisers
- 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
- 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 BLUE FIN CAPITAL, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM755.9m	#Funds-
Adviser TD 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-	AUM1.2b	#Funds-
Adviser HEMINGTON WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.1b	#Funds-
Adviser GS INVESTMENT INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM276.6m	#Funds-
Adviser STILLWATER INVESTMENT MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM535.2m	#Funds-
Adviser AUSTIN ASSET	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.9b	#Funds-
Adviser LEGACY INVESTMENT PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM403.1m	#Funds-
Adviser CURTIS ADVISORY GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM573.7m	#Funds-
Adviser CASSADAY & COMPANY, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM7.1b	#Funds-
Adviser STRICKLAND DAVIS ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM121.3m	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker922908363	Stock NameVANGUARD INDEX FDS	$ Position$49,942,313	% Position5.00%	$ Change12.00%	# Change-2.00%
Stck Ticker464287200	Stock NameISHARES TR	$ Position$42,589,699	% Position4.00%	$ Change15.00%	# Change0.00%
Stck Ticker191216100	Stock NameCOCA COLA CO	$ Position$25,826,861	% Position3.00%	$ Change3.00%	# Change-4.00%
Stck Ticker02079K107	Stock NameALPHABET INC	$ Position$33,267,840	% Position3.00%	$ Change21.00%	# Change-1.00%
Stck Ticker02507A606	Stock NameAMERICAN CENTY ETF TR	$ Position$26,400,574	% Position3.00%	$ Change	# Change
Stck Ticker78464A854	Stock NameSPDR SERIES TRUST	$ Position$15,968,336	% Position2.00%	$ Change14.00%	# Change0.00%
Stck Ticker46090E103	Stock NameINVESCO QQQ TR	$ Position$20,319,416	% Position2.00%	$ Change27.00%	# Change0.00%
Stck Ticker023135106	Stock NameAMAZON COM INC	$ Position$19,990,052	% Position2.00%	$ Change14.00%	# Change0.00%
Stck Ticker808524201	Stock NameSCHWAB STRATEGIC TR	$ Position$21,322,219	% Position2.00%	$ Change15.00%	# Change0.00%
Stck Ticker532457108	Stock NameELI LILLY & CO	$ Position$17,108,592	% Position2.00%	$ Change29.00%	# Change-1.00%

Brochure Summary

Overview

Sheets Smith Wealth Management is an independently owned, SEC-registered investment advisor. The Firm was founded in 1982 by John Sheets as President and William (Bill) Smith as Executive Vice President and is located in Winston-Salem, NC. Since then, the Firm has been assisting its clients by providing professional financial services to individuals and families with substantial net worth and/or income. John Sheets is the principal owner of the Firm. Sheets Smith Wealth Management provides investment management, wealth preservation strategies, and financial planning to clients. Most clients are individuals and families, but the Firm also manages assets for foundations, endowments, and retirement plans. The Firm’s clients include senior corporate executives or professionals, individuals who have inherited wealth, and others who are in the process of creating wealth. In addition to portfolio management, the Firm provides retirement planning, cash flow analysis, and estate and gift planning. The Firm also works with accountants and estate planning attorneys of clients as needed for tax and estate planning purposes. The Firm tailors asset allocation and investment strategies to each client’s needs after understanding the client’s risk tolerance, investment time horizon, and other relevant client- specific factors. Clients may impose investment restrictions (e.g., no tobacco-related

investments) on their accounts in writing, if so desired. Sheets Smith Wealth Management acts as a sub-advisor to an independent investment advisor that is registered as an investment advisor with the State of North Carolina, Carolina Financial Advisors, Inc., located in Greensboro, NC. Chris Jones, the founder and President of Carolina Financial Advisors, Inc., based on his client’s risk tolerance and investment objectives, often engages the Firm to serve as a sub-advisor for certain client accounts. The investment focus of these sub-advised accounts is on equities through the purchase and sale of stocks and mutual funds. The Firm also provides discretionary and non-discretionary investment advisory services to a few small company 401K plans and their fiduciaries based on an analysis of the needs of the plans. In general, these services may include existing plan review, asset allocation advice, money management services, communication and education services, investment performance monitoring, and/or ongoing management or consulting. Sheets Smith Wealth Management, Inc. has ownership in an affiliated registered investment advisor , Sheets Smith Investment Management, LLC. The two firms operate independently of each other. All of the Firm’s assets under management are discretionary. As of December 31, 2022, the Firm had $965 million total assets under management.

SHEETS SMITH WEALTH MANAGEMENT

SHEETS SMITH WEALTH MANAGEMENT

SHEETS SMITH & ASSOCIATES INC

SHEETS SMITH INVESTMENT MANAGEMENT, LLC (RELYING ADVISOR)

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

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SHEETS SMITH WEALTH MANAGEMENT SHEETS SMITH WEALTH MANAGEMENT SHEETS SMITH & ASSOCIATES INC SHEETS SMITH INVESTMENT MANAGEMENT, LLC (RELYING ADVISOR)

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

SHEETS SMITH WEALTH MANAGEMENT

SHEETS SMITH WEALTH MANAGEMENT

SHEETS SMITH & ASSOCIATES INC

SHEETS SMITH INVESTMENT MANAGEMENT, LLC (RELYING ADVISOR)