9AT: KEPPLER ASSET MANAGEMENT INC.

Adviser Profile

As of Date	02/01/2024
Registration status	Terminated
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	462,455,676 -18%
of that, discretionary	0
Number of Employees	6
of those in investment advisory functions	6
Private Fund GAV^*	0
Avg Account Size	51,383,964
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Performance-based 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 ICON INFRASTRUCTURE NORTH AMERICA INC.	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 EURAZEO NORTH AMERICA, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.6b	#Funds-
Adviser ACTIVUM SG GLOBAL ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.7b	#Funds-
Adviser DRI CAPITAL (US), INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM520.1m	#Funds-
Adviser DB ADVISORY AMERICA, LIMITED(LTD)	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.3b	#Funds-
Adviser PERRY CAPITAL PARTNERS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM450.0m	#Funds-
Adviser LION CAPITAL (AMERICAS) INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM361.6m	#Funds-
Adviser BEYOND INVESTMENTS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM198.8m	#Funds-
Adviser HERMES GPE (USA) INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.7b	#Funds-
Adviser FUKOKU LIFE INTERNATIONAL (AMERICA) INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM327.7m	#Funds-

Brochure Summary

Overview

A. DESCRIPTION OF THE FIRM Keppler Asset Management Inc. is an independent, fee-based investment adviser. The firm was founded in 1992 by Michael Keppler and has been registered with the SEC since 11 January 1993. Michael Keppler is the firm’s President, Chief Investment Officer, and sole owner. We currently advise seven public mutual funds (without taking into account more than one share class per fund) as well as several equity funds established for individual institutional investors. Our Graham & Dodd-inspired investment philosophy is centered on value, discipline, and a long-term perspective. B. ADVISORY SERVICES We specialize in active equity portfolio strategies that aim to deliver superior long-term performance and seek to control risk of loss through a strong commitment to value. Although we make every effort to achieve above- benchmark returns for the investors in the funds we advise, we cannot guarantee that these funds will outperform their benchmarks. Our portfolio strategies are based on extensive quantitative-fundamental research and proprietary multi-factor models. They can be applied to different investment universes, such as global equities, developed markets, emerging markets or frontier markets

equities, regional markets, and sector- or country-specific equity investments. For a more detailed description of our investment strategies and methods of analysis, please see Item 8. C. CUSTOMIZED ADVISORY SERVICES We provide continuous investment advice to clients based on their specific requirements. When advising clients in respect of public mutual funds, we observe the investment policies, restrictions and limitations described in the applicable prospectuses. When advising clients in respect of funds established for individual institutional investors, we operate within the investment guidelines set by the asset owners. These guidelines may include restrictions on investing in certain securities, such as securities issued by companies that do not meet an investor’s environmental, social and corporate governance (ESG) criteria, or other requirements. However, we only accept advisory mandates that allow us to pursue sensible, value-oriented long-term investment strategies. D. WRAP FEE PROGRAMS Keppler Asset Management Inc. does not participate in wrap fee programs. E. ASSETS UNDER MANAGEMENT As of 31 December 2022, our assets under advisory amounted to $462,455,676—all of which were managed on a non-discretionary basis.

KEPPLER ASSET MANAGEMENT INC.

KEPPLER ASSET MANAGEMENT INC.

KEPPLER ASSET MANAGEMENT, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

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Brochure Summary

Overview

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KEPPLER ASSET MANAGEMENT INC. KEPPLER ASSET MANAGEMENT INC. KEPPLER ASSET MANAGEMENT, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

KEPPLER ASSET MANAGEMENT INC.

KEPPLER ASSET MANAGEMENT INC.

KEPPLER ASSET MANAGEMENT, INC.