9AT: PRUNEYARD FINANCIAL GROUP, INC.

Adviser Profile

As of Date	06/08/2026
Registration	SEC, Approved, 11/14/2001
ADV Location	CUPERTINO, CA, United States
Contact Info	408 xxxxxxx
Websites

AUM^*	90,871,769 -35%
of that, discretionary	90,072,019 -35%
Number of Employees	1 -67%
of those in investment advisory functions	1 -50%
Private Fund GAV^*	0
Avg Account Size	491,199 -58%
% High Net Worth	39.80% 3%
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
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small 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 STONEBRIDGE 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-	AUM2.5b	#Funds-
Adviser STUYVESANT CAPITAL MANAGEMENT CORPORATION	Hedge Fund110.4k	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV110.4k	AUM43.0m	#Funds1
Adviser GRAGG FINANCIAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM215.4m	#Funds-
Adviser SUNCOAST EQUITY MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.1b	#Funds-
Adviser APS LABS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM100.0m	#Funds-
Adviser WEALTHEDGE 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-	AUM472.1m	#Funds-
Adviser SOUTHBRIDGE ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM353.1m	#Funds-
Adviser HIGH PLAINS INVESTMENT ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM191.2m	#Funds-
Adviser CANNON FINANCIAL STRATEGISTS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.7b	#Funds-
Adviser CCM INVESTMENT ADVISERS, 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-

Brochure Summary

Overview

Pruneyard Financial Group, Inc. (PFG) is a registered investment adviser under the Investment Advisers Act of 1940, with principal offices located in Campbell, California since 1995. Pursuant to a corporate restructuring in 2000, an updated registration was approved by SEC in 2001. John D. Masegian and Steven A. Schumaker became the principal shareholders of Pruneyard Financial Group, Inc. in 2016 and represent the second-generation of their respective families to lead the firm. PENSION CONSULTING SERVICES We offer the following consulting services to small businesses, corporate clients, pension plans, profit- sharing plans, and 401(k) plans pursuant to the Employee Retirement Income Security Act of 1974 (ERISA). § 3(21) Fiduciary Adviser Pruneyard Financial Group, Inc. can serve as a knowledgeable advisor to any plan sponsor to properly manage investments: Full-Scope engagement where Pruneyard Financial Group, Inc. effectively serves the role of the plan sponsor in hiring and monitoring all service providers, but without discretionary investment authority. This role is typically performed by an independent fiduciary. Limited-Scope engagement in which Pruneyard Financial Group, Inc. provides counsel and guidance to the plan sponsor but does not have discretion or responsibility for investment decisions including but not limited to recommending investments to the plan sponsor; monitoring those investments and suggesting replacements; providing participant education under the guidelines established

in § 404(c); or advising the plan sponsor in following a fiduciary process and investment policy. § 3(38) Investment Manager ERISA provides that a plan sponsor can appoint a qualified § 3(38) fiduciary (bank, insurance company, or registered investment adviser (RIA) subject to the Investment Advisers Act of 1940) as an investment manager to manage the plan’s assets, with responsibility for selecting, monitoring, and replacing investments. This is not the role of a consultant who “advises,” “recommends,” “assists” or “helps,” but is a fiduciary who agrees to and acknowledges its fiduciary status in writing. As a § 3(38) fiduciary investment manager, Pruneyard Financial Group, Inc. would be engaged to manage a plan’s investment management process, with discretionary authority over day-to-day investment decisions at the plan level. PORTFOLIO MANAGEMENT Our firm provides discretionary portfolio management to individuals, families, and small business (e.g., investment advice, portfolio management, and financial planning) through the PFG Money Management Program (the "Program"), a wrap fee program managed and sponsored by Pruneyard Financial Group, Inc. Please refer to our Form ADV, Part 2A, Appendix 1: Wrap Fee Program Brochure for further information. Regulatory Assets Under Management As of 12/31/2023, we managed $122,991,773 of client assets on a discretionary basis, $403,662 of client assets on a non-discretionary basis, totaling $123,395,435 in assets under management.

PRUNEYARD FINANCIAL GROUP, INC.

PRUNEYARD FINANCIAL GROUP, 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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PRUNEYARD FINANCIAL GROUP, INC. PRUNEYARD FINANCIAL GROUP, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

PRUNEYARD FINANCIAL GROUP, INC.

PRUNEYARD FINANCIAL GROUP, INC.