9AT: PETTEE INVESTORS INC

Adviser Profile

As of Date	03/17/2026
Registration	SEC, Approved, 07/06/1989
ADV Location	ROWAYTON, CT, United States
Contact Info	203 xxxxxxx
Websites

AUM^*	191,874,111 -17%
of that, discretionary	191,874,111 -17%
Number of Employees	6
of those in investment advisory functions	5
Private Fund GAV^*	0
Avg Account Size	2,998,033 -6%
% High Net Worth	81.82% 12%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Charitable organizations
- Corporations or other businesses not listed above

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 HARBOR ISLAND CAPITAL LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM277.6m	#Funds-
Adviser CLEARLAKE ADVISORS, L.L.C.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM253.8m	#Funds-
Adviser LLOYD PARK, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM167.9m	#Funds-
Adviser SUNDANCE ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM226.0m	#Funds-
Adviser R.H. INVESTMENT GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM238.5m	#Funds-
Adviser TEKMEN WELLS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM92.4m	#Funds-
Adviser DRH INVESTMENTS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM191.0m	#Funds-
Adviser NORTHSTAR FINANCIAL ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM195.3m	#Funds-
Adviser BRIDGECREEK 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-	AUM800.0m	#Funds-
Adviser CHESAPEAKE 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-	AUM205.0m	#Funds-

Brochure Summary

Overview

Our Company At Pettee Investors, Inc., our core business is managing assets. Based in Rowayton, Connecticut, Pettee Investors, Inc. is an independent, privately-held Connecticut corporation that has been an SEC-registered investment adviser since 1989. Throughout this written disclosure brochure, the company is referred to as “Pettee Investors”. The sole owner of Pettee Investors is Sheila Peck Pettee, CFA. Our Services Pettee Investors provides clients with the advantages of personal investment management services on an individual basis. When you are a client of Pettee Investors, you are working with Sheila Pettee, CFA, Timothy Pettee or Alexander “Alex” Pettee, CFA of the firm who are responsible for all investment decisions made for accounts. Pettee Investors will manage advisory accounts on either a discretionary or non- discretionary basis. Clients will have the opportunity to place reasonable restrictions on the types of investments which will be made on the client's behalf. For example, if a client wishes a particular security bought or sold, Pettee Investors may do so. Similarly, clients can advise Pettee Investors of particular investment restrictions to which the firm will adhere. For accounts managed on a discretionary basis, Pettee Investors is allowed to make transactions in that account without prior

client approval. This allows Pettee Investors to act quickly as circumstances dictate, though still adhering to clients’ investment objectives, risk tolerances and account restrictions. For accounts managed on a non- discretionary basis, Pettee Investors would not purchase or sell securities without the client’s prior consent. Pettee Investors remains in close contact with clients in order to be fully aware of their financial situation, objectives and needs. The more Pettee Investors knows about the individual circumstances and financial requirements of the client, the better Pettee Investors can help the client reach their investment objectives. Pettee Investors also believes that regular contact, in person, by phone, mail or email is critical to maintaining a strong on-going relationship. Pettee Investors believes that clients are entitled to know what is being done with their money and why. Pettee Investors can discuss individual portfolios with clients at any time, since each portfolio is constantly reviewed. Pettee Investors’ method is to have in mind all portfolios at all times and to make purchase and sales for each particular client as deemed prudent. Our Assets Under Management As of December 31, 2023, the total amount of client assets managed by Pettee Investors is approximately $232,326,869, all of which are managed on a discretionary basis.

PETTEE INVESTORS INC

PETTEE INVESTORS INC

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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PETTEE INVESTORS INC PETTEE INVESTORS INC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

PETTEE INVESTORS INC

PETTEE INVESTORS INC