9AT: STRATIGRAPHIC ASSET MANAGEMENT, INC.

Adviser Profile

As of Date	01/19/2025
Registration status	Terminated
ADV Location	CORAL GABLES, FL, United States
Contact Info	305 xxxxxxx
Websites

AUM^*	160,044,454 28%
of that, discretionary	121,485,793 32%
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	2,500,695 32%
% High Net Worth	51.56% -8%
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
- 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 LATHROP INVESTMENT MANAGEMENT CORP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM868.4m	#Funds-
Adviser SILVERCREST ASSET MANAGEMENT GROUP LLC	Hedge Fund178.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund344.7m	Total Private Fund GAV523.0m	AUM28.3b	#Funds13
Adviser CERITY PARTNERS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund19.6m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund93.6m	Total Private Fund GAV113.3m	AUM161.7b	#Funds11
Adviser LVW ADVISORS, LLC	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 PARKSIDE INVESTMENTS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund42.7m	Total Private Fund GAV42.7m	AUM1.4b	#Funds2
Adviser OPEROSE ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund50.9m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund42.3m	Total Private Fund GAV93.2m	AUM2.0b	#Funds4
Adviser THE MONEY ADVISOR GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM280.7m	#Funds-
Adviser MARINER	Hedge Fund-	Liquidity Fund-	Private Equity Fund11.4m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV11.4m	AUM125.4b	#Funds2
Adviser KB FINANCIAL PARTNERS, LLC	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 GUARDIAN 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-	AUM300.2m	#Funds-

Brochure Summary

Overview

Stratigraphic Asset Management, Inc. offers an independent, flexible, and comprehensive approach to help clients manage their liquid assets and generate an attractive risk-adjusted return. Stratigraphic’s principals invest their own money alongside their clients and always put the interests of their clients first. Stratigraphic has been engaged in the investment advisory business since April 1993. The firm is private and wholly owned by Alan S. Bernstein. Stratigraphic’s business is providing investment supervisory services through the management of client portfolios. Such portfolios are always held at a major financial institution that serves as custodian. Stratigraphic manages substantially all its client portfolios on a discretionary basis. At December 31, 2022 the firm had two non-discretionary account under management with total assets valued at $32.4 million and 64 discretionary accounts valued at around $92.4 million. Managed accounts consist mainly of publicly traded securities: U.S. and foreign common stocks; U.S. Government, corporate debt securities; municipal securities; and exchange traded fund shares. For certain clients, Stratigraphic has utilized covered options writing as a supplemental investment strategy. Stratigraphic principals and clients have invested in real estate private placements in which a family member was a general partner/principal at the time of the offering. We do structure portfolios and tailor asset class weightings to take into account risk preferences,

account cash withdrawal requirements, age, and other related personal factors that have a bearing on the management of the account. Alan Bernstein is not engaged in any other business outside of Stratigraphic. Stratigraphic’s Principal Alan S. Bernstein • Mr. Bernstein was engaged in the domestic petroleum industry until 1998, when Stratigraphic Asset Management, Inc. was founded. From 1968 to 1972, Mr. Bernstein was a senior energy analyst with Loeb, Rhoades & Co. in New York. Mr. Bernstein is a trustee emeritus of Amherst College, where he was a member of the budget and finance committee that advised the administration on all aspects of the financial affairs of the institution. He served on the Visiting Committee on Romance Languages at Harvard University, the Head of School Advisory Board of Sidwell Friends School, Washington, D.C., and the Board of Trustees of Ransom Everglades School in Miami. He is a founder and former trustee and treasurer of the Musical Arts Association of Miami, which supports the annual Miami residency of The Cleveland Orchestra, and is a trustee emeritus of the Miami Music Project, which provides instruction to young musicians learning to perform classical music along the lines of the Venezuelan “Sistema” program. Currently he is a trustee of the Georges Lurcy Charitable and Educational Trust, a New York-based private foundation. Mr. Bernstein holds a BA degree cum laude from Amherst College and an MBA degree from Harvard Business School.

STRATIGRAPHIC ASSET MANAGEMENT, INC.

STRATIGRAPHIC ASSET MANAGEMENT, INC.

STRATIGRAPHIC MANAGEMENT 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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STRATIGRAPHIC ASSET MANAGEMENT, INC. STRATIGRAPHIC ASSET MANAGEMENT, INC. STRATIGRAPHIC MANAGEMENT INC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

STRATIGRAPHIC ASSET MANAGEMENT, INC.

STRATIGRAPHIC ASSET MANAGEMENT, INC.

STRATIGRAPHIC MANAGEMENT INC