9AT: FIEN CAPITAL MANAGEMENT, LLC

Adviser Profile

As of Date	02/27/2026
Registration	SEC, Approved, 08/17/2001
ADV Location	ROCHESTER, NY, United States
Contact Info	585 xxxxxxx

AUM^*	137,710,371 16%
of that, discretionary	137,710,371 16%
Number of Employees	2
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	1,263,398 22%
% High Net Worth	48.21% -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
- 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
- Hourly charges
- 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 ALPHA 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-	AUM619.3m	#Funds-
Adviser WATERFORD ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM399.1m	#Funds-
Adviser ARNOLD AND MOTE WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM168.2m	#Funds-
Adviser SMITH ANGLIN FINANCIAL, 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 TRANQUILLI FINANCIAL ADVISOR, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM199.4m	#Funds-
Adviser GLASHOFER FINANCIAL ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM284.3m	#Funds-
Adviser REVOLVE WEALTH PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.4b	#Funds-
Adviser SHAKESPEARE WEALTH MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM641.9m	#Funds-
Adviser COBBLESTONE CAPITAL ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.9b	#Funds-
Adviser PRW WEALTH MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM511.5m	#Funds-

Brochure Summary

Overview

Fien Capital Management, LLC was founded in 2001 by Mark Fien, president and principal owner. The firm provides investment management and consulting services to a variety of clients on both a discretionary and non-discretionary basis. Each client engagement involving ongoing investment management services involves the execution of an investment advisory agreement which specifies whether the firm will manage the client’s assets on a discretionary basis or on a non-discretionary basis. The portfolio management process begins with an evaluation of the specific investment needs of a client based on, but not exclusive to, these factors: the client’s tolerance for risk, investment time horizon, cash flow needs, tax considerations, and such reasonable restrictions as a client may wish to impose on the management of the account. Following this evaluation,

investment objectives are formulated and the investment portfolio is constructed and tailored to the specific needs of the client. Most of the firm’s clients engage the firm to manage their investment portfolios on a discretionary basis which involves the execution of a limited power of attorney, pursuant to which Fien Capital Management, LLC will select investments that it deems most appropriate for a client’s situation. In instances where the firm manages an investment portfolio on a non-discretionary basis, the firm will make investment recommendations. As of March 1, 2024 Fien Capital Management, LLC’s assets under management were as follows: Discretionary $118,263,928 Non-Discretionary $ 0 Total $118,263,928 Fien Capital Management, LLC does not participate in any wrap-fee programs.

FIEN CAPITAL MANAGEMENT, LLC

FIEN CAPITAL MANAGEMENT, LLC

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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FIEN CAPITAL MANAGEMENT, LLC FIEN CAPITAL MANAGEMENT, LLC

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

FIEN CAPITAL MANAGEMENT, LLC

FIEN CAPITAL MANAGEMENT, LLC