9AT: GRASSI INVESTMENT MANAGEMENT, LLC

Adviser Profile

As of Date	10/30/2025
Registration status	Terminated
ADV Location	SANTA CLARA, CA, United States
Contact Info	650 xxxxxxx
Websites

AUM^*	1,360,544,691 23%
of that, discretionary	1,317,979,490 24%
Number of Employees	5
of those in investment advisory functions	4
Private Fund GAV^*	0
Avg Account Size	3,334,668 22%
% High Net Worth	16.47% 11%
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
- Insurance companies
- 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
- Fixed fees (other than subscription 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 UPRIGHT FINANCIAL CORP	Hedge Fund16.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV16.9m	AUM98.0m	#Funds1
Adviser BALEFIRE, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.0b	#Funds-
Adviser TRB WEALTH MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund20.3m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV20.3m	AUM3.7b	#Funds1
Adviser CORBYN INVESTMENT MANAGEMENT INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.0b	#Funds-
Adviser ACCESS FINANCIAL RESOURCES INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM410.6m	#Funds-
Adviser LESLIE MARIE GIORDANO	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM62.6m	#Funds-
Adviser MATSON MONEY, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM24.3b	#Funds-
Adviser MACROVIEW 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-	AUM387.1m	#Funds-
Adviser BERNZOTT CAPITAL ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM265.4m	#Funds-
Adviser FOCUSED WEALTH MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.3b	#Funds-

Brochure Summary

Overview

Firm Description Grassi Investment Management, LLC, was founded in 1984. Services Grassi Investment Management, LLC provides discretionary and nondiscretionary investment management services. We provide personalized confidential investment management to individuals, pension and profit- sharing plans, trusts, estates, charitable organizations and small businesses. We assist you in determining investment objectives and monitor accounts on a daily basis. The firm is not affiliated with entities that sell financial products or securities. No commissions in any form are accepted. No finder’s fees are accepted. We do not act as a custodian of your assets. You always maintain asset control. We place trades for you under a limited power of attorney. Other professionals (e.g., lawyers, accountants, insurance agents, etc.) are engaged directly by the client on an as-needed basis. Conflicts of interest will be disclosed to the client in the unlikely event they should occur. Principal Owners Peter T. Grassi is a Managing Member and Chief Compliance Officer Peter E. Grassi is a Managing Member Advisory Services We provide investment supervisory services, also known as asset management services. Assets Under Management As of December 31, 2022, we manage $ $928,101,078 in total assets for our clients. Out of the total assets we manage $869,480,813 is managed on a discretionary basis, and $58,620,265 is managed on a non-discretionary basis. Asset

Management Assets are invested primarily in the following types of portfolios: GIM Equity Portfolio A focused group of stocks designed to compete with the S&P 500 value index. GIM Balanced Portfolio Implements the GIM Equity Portfolio and allocates a portion to fixed income thus providing cash flow, and reducing risk and overall volatility to the portfolio GIM Income Strategy Portfolio Invests in dividend paying stocks and fixed income securities, which offer total return opportunities and provide a cushion during times of challenging market conditions. GIM Fixed Income Portfolio Invests in a variety of high quality and to a lesser extent medium quality fixed income securities. Stocks and bonds may be purchased or sold through a brokerage account when appropriate. The brokerage firm charges a fee for stock and bond trades. We do not receive any compensation, in any form, from fund companies. We generally do allow clients to impose restrictions on investing in certain securities. We do not invest in wrap fee programs or manage assets for any wrap fee accounts. Termination of Agreement You may terminate our agreement on 5 days written notice. Upon termination, any pre-paid fees will be prorated to the date of termination and unearned fees will be returned to you. We may terminate the agreement at any time by notifying you in writing. If you made an advance payment, we would refund any unearned portion of the advance payment.

GRASSI INVESTMENT MANAGEMENT, LLC

GRASSI INVESTMENT MANAGEMENT, LLC

GRASSI INVESTMENT MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

Need help?

Send a question to 9AT support.

GRASSI INVESTMENT MANAGEMENT, LLC GRASSI INVESTMENT MANAGEMENT, LLC GRASSI INVESTMENT MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

GRASSI INVESTMENT MANAGEMENT, LLC

GRASSI INVESTMENT MANAGEMENT, LLC

GRASSI INVESTMENT MANAGEMENT LLC