9AT: ARTHUR E SPELLISSY & ASSOCIATES INC

Adviser Profile

As of Date	09/30/2023
Registration status	Terminated
ADV Location	WAYNE, PA, United States
Contact Info	610 xxxxxxx

AUM^*	156,156,288 -10%
of that, discretionary	3,900,050 -17%
Number of Employees	3
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	52,052,096 -10%
% High Net Worth	39.24% -36%
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

Advisory Activities

- Portfolio management for individuals and/or small 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 SFC FINANCIAL LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM208.3m	#Funds-
Adviser FOUNTAINHEAD FINANCIAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM543.2m	#Funds-
Adviser EISEN FINANCIAL SERVICES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM34.1m	#Funds-
Adviser SOUTH BAY FINANCIAL PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM114.8m	#Funds-
Adviser FENWAY FINANCIAL ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM247.7m	#Funds-
Adviser FINANCIAL FREEDOM	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM443.2m	#Funds-
Adviser FINANCIAL RESOURCES MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM68.0m	#Funds-
Adviser MAKROD INVESTMENT ASSOCIATES INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM894.4m	#Funds-
Adviser TREBUCHET CONSULTING, LLC	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 PROMETHEUS CAPITAL MANAGEMENT CORP.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM397.8m	#Funds-

Brochure Summary

Overview

• Ownership In the early 1930’s Arthur E. Spellissy established an investment advisory firm with a select number of clients. The business continued to grow, and in 1965 Arthur E. Spellissy & Associates was incorporated under the laws of the State of Pennsylvania. Donald W. Weaver is now the sole owner of the firm, registered as an investment adviser with the Securities and Exchange Commission.
• Advisory Services Offered The Associates offer personalized investment advisory services and provide clients with continuous supervision of their accounts. Client’s account(s) are monitored on an on-going basis, and portfolio recommendations are submitted and implemented as deemed appropriate. We do not offer financial planning, or attempt to market time. The Associates limit investment advice to the following types of investments: - Exchange listed securities (including ETF’s) - Securities traded over-the-counter - Money market funds - Corporate bonds - Municipal bonds - United States Treasury bonds - Mutual fund shares
• Individualized Services The Associates’ basic investment philosophy can be categorized as “GARP”, or Growth at a Reasonable Price. That being said, each client’s portfolio is tailored to his or her specific needs and/or

preferences, and risk tolerance. Clients are always given the opportunity to impose restrictions on specific investment selections and sectors. However, the Associates will not enter into an investment adviser relationship with any prospective client whose investment objectives may be considered incompatible with our investment philosophy, or whose strategies we feel uncomfortable in implementing.
• Wrap Fee Programs In Wrap-fee programs, advisory services are provided in conjunction with transaction services for one fee. The Associates do not participate in Wrap-fee programs, and therefore investment advisory services are provided for a fee (as explained in Item 5), but commission costs are billed separately by the broker on a per-transaction basis. Arthur E. Spellissy & Associates, Inc. Page 5 of 13 Firm Brochure Client Assets Under Management As of December 31, 2022, the amount of total assets under management by the Associates was $156,156,288. Of that total, three portfolios were managed on a discretionary basis totaling $3,900,055. The amount of supervised billable assets was $133,321,565. This latter total does not include family accounts that are monitored by the Associates, and reflects only those assets upon which fees are charged.

ARTHUR E SPELLISSY & ASSOCIATES INC

ARTHUR E SPELLISSY & ASSOCIATES INC

SPELLISSY ARTHUR E & ASSOCIATES INC

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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ARTHUR E SPELLISSY & ASSOCIATES INC ARTHUR E SPELLISSY & ASSOCIATES INC SPELLISSY ARTHUR E & ASSOCIATES INC

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

ARTHUR E SPELLISSY & ASSOCIATES INC

ARTHUR E SPELLISSY & ASSOCIATES INC

SPELLISSY ARTHUR E & ASSOCIATES INC