9AT: COVINGTON & ASSOCIATES, INC.

Adviser Profile

As of Date	03/24/2026
Registration	SEC, Approved, 06/20/2001
ADV Location	WESTFIELD, NJ, United States
Contact Info	908 xxxxxxx

AUM^*	308,209,194 27%
of that, discretionary	297,207,543 28%
Number of Employees	3
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	1,879,324 20%
% High Net Worth	55.56% -12%
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

Accounting Firm Name	Filing Date	Form ADV-E
Accounting Firm Name ROSENBERG RICH BAKER BERMAN & COMPANY	Filing Date08/11/2023	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 CAPITAL PLANNING ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.5b	#Funds-
Adviser ST. DENIS J. VILLERE & CO., LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.4b	#Funds-
Adviser HERITAGE WEALTH ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund255.4m	Total Private Fund GAV255.4m	AUM4.9b	#Funds15
Adviser KATHMERE CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund1.7m	Total Private Fund GAV1.7m	AUM3.5b	#Funds1
Adviser PHILLIPS FINANCIAL	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 SEVEN POST INVESTMENT OFFICE LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM9.6b	#Funds-
Adviser DUNCKER STREETT & CO.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM707.3m	#Funds-
Adviser LEFT BRAIN WEALTH MANAGEMENT, LLC	Hedge Fund39.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV39.3m	AUM340.4m	#Funds3
Adviser VISTA 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-	AUM323.9m	#Funds-
Adviser FOUR CORNERS FINANCIAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM104.8m	#Funds-

Brochure Summary

Overview

Successful investment management requires dedication, flexibility, and extensive knowledge in the selection and weighting of securities within a portfolio for capital appreciation and for income generation. Based on this philosophy, Covington & Associates, Inc. (hereinafter “Covington”, “we”, “us”, “our” or the “Firm”) was founded in 1989 to provide personalized investment advisory services for selected individual, institutional, and corporate clients. Covington is organized as a New Jersey corporation. All portfolios are managed by a three-member advisory team including the Firm’s president and owner, Hugh Richard Covington. Covington currently manages a variety of portfolios with investment objectives ranging the spectrum from capital preservation with minimum risk to aggressive capital appreciation with additional risk. The Firm provides individuals, corporations, corporate pension plans, foundations, and trusts with personalized

portfolios based on their specific risk and reward expectations. Clients have direct access to the Firm’s advisory team who manages the portfolios. The Firm invests in stocks, bonds, mutual funds, exchange-traded funds, real estate investment trusts and options in appropriate weightings and combinations. It does not invest in commodity futures or non-marketable securities. Because Covington recognizes the unique attributes and concerns of each client, it customizes each client’s portfolio to reflect the client’s investment restrictions. There are no wrap-fee programs for clients of Covington. There are no commission sales. Clients are charged a fixed fee for assets under management after services are performed. As of December 31, 2023, Covington has $241,880,184 of total regulatory assets under management, $231,335,803 of which is managed on a discretionary basis and $10,544,381 managed on a non-discretionary basis.

COVINGTON & ASSOCIATES, INC.

COVINGTON & ASSOCIATES, INC.

Adviser Profile

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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COVINGTON & ASSOCIATES, INC. COVINGTON & ASSOCIATES, INC.

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Brochure Summary

Overview

COVINGTON & ASSOCIATES, INC.

COVINGTON & ASSOCIATES, INC.