9AT: WARD & ASSOCIATES

Adviser Profile

As of Date	06/23/2026
Registration	SEC, Approved, 10/19/1998
ADV Location	SAN DIEGO, CA, United States
Contact Info	858 xxxxxxx
Websites

AUM^*	187,200,000 4%
of that, discretionary	175,800,000 6%
Number of Employees	2
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	3,403,636 2%
% High Net Worth	72.73% 1%
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

- 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
- Hourly charges

Accounting Firm Name	Filing Date	Form ADV-E
Accounting Firm Name DCPA	Filing Date09/16/2025	Form ADV-E View Report
Accounting Firm Name DCPA	Filing Date12/17/2024	Form ADV-E View Report
Accounting Firm Name DCPA	Filing Date01/31/2024	Form ADV-E View Report

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 INDEPENDENT FAMILY OFFICE, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM760.1m	#Funds-
Adviser SCHECHTER INVESTMENT ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.9b	#Funds-
Adviser KELLEHER 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-	AUM1.2b	#Funds-
Adviser ACROPOLIS INVESTMENT MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.6b	#Funds-
Adviser TRANSATLANTIQUE PRIVATE WEALTH LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM878.8m	#Funds-
Adviser MERIDIAN 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-	AUM627.6m	#Funds-
Adviser KEENEY FINANCIAL GROUP INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM385.6m	#Funds-
Adviser ENTRUST 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-	AUM12.7m	#Funds-
Adviser WATERS, PARKERSON & CO., LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.9b	#Funds-
Adviser WOLFF FINANCIAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM612.7m	#Funds-

Brochure Summary

Overview

Ward & Associates was founded in 1997 and currently has two partners, William T. Ward, Jr. and Kevin A. Ward (collectively, the “Partners”). Our firm generally provides wealth management and investment advisory services to individuals and families and their related business entities, trusts, estates, charitable foundations and pension and profit sharing plans. Our mission is to provide, to the best of our abilities, the highest caliber of personal service, financial advice and investment management while assisting our clients in seeking their financial objectives. We are dedicated to providing clients with the advice needed to make sound financial decisions. We work with clients to design and implement customized wealth management strategies in an effort to build and preserve wealth. Our investment management and investment supervisory services are based on the client’s needs, obligations, risk tolerances and investment objectives. We may also render advice on related areas including, but not limited to, retirement planning, estate planning, real estate, insurance, trusts, and alternative investments. We may provide advice to any particular client on one or more of these financial planning issues on a situational basis or may develop a complete financial plan addressing all aspects of a client’s financial life. Our investment management and investment supervisory services are primarily rendered through the construction and management of

portfolios invested in mutual funds and the selection and monitoring of private money managers. Additionally, we offer advice relating to investments in non-traditional investments, including, but not limited to, venture capital funds, hedge funds, and leveraged buy-out funds. We have our own philosophies of investing and ways of helping our clients meet their financial goals and objectives. We seek to work with people who share similar philosophies. We recognize that every client’s situation and needs are different than others. Therefore, we are willing to tailor our advisory services to meet each client’s needs. Clients are permitted to place reasonable restrictions on the manner in which their accounts are managed. However, there may be times when restrictions placed by the clients create a conflict and prevent us from accepting or continuing to manage the account. We reserve the right to not accept and/or terminate the management of a client’s account if we determine, in our sole discretion, that the client-imposed restrictions would limit or prevent us from meeting and/or maintaining a suitable investment strategy for such client. Please see Item 8 for a more detailed description of our investment methodologies and strategies. As of December 31, 2023, Ward & Associates managed $179,640,917 in assets, $165,720,885 of which was managed on a discretionary basis, and $13,920,032 was managed on a non-discretionary basis.

WARD & ASSOCIATES

WARD & ASSOCIATES

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

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Brochure Summary

Overview

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WARD & ASSOCIATES WARD & ASSOCIATES

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Brochure Summary

Overview

WARD & ASSOCIATES

WARD & ASSOCIATES