9AT: COOPER MCMANUS

Adviser Profile

As of Date	06/15/2026
Registration	SEC, Approved, 04/07/2003
Other registrations (1)	California, Terminated, 04/09/2003
ADV Location	IRVINE, CA, United States
Contact Info	800 xxxxxxx
Websites

AUM^*	2,852,543,930 81%
of that, discretionary	2,852,543,930 81%
Number of Employees	53 8%
of those in investment advisory functions	50 32%
Private Fund GAV^*	0
Avg Account Size	401,145 17%
% High Net Worth	15.68% 5%
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
- Pension consulting services
- Selection of other advisers
- Publication of periodicals or newsletters
- Educational seminars/workshops

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 SOWELL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM4.8b	#Funds-
Adviser LEIGH BALDWIN & CO., LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM290.6m	#Funds-
Adviser BCO 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-	AUM359.8m	#Funds-
Adviser PEACHCAP TAX & ADVISORY, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM147.5m	#Funds-
Adviser BRADLEY FOSTER & SARGENT INC	Hedge Fund74.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV74.1m	AUM9.1b	#Funds1
Adviser RELIANT INVESTMENT PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM268.3m	#Funds-
Adviser VERITY ASSET MANAGEMENT	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 JERICHO FINANCIAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM220.0m	#Funds-
Adviser MINICHMACGREGOR 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-	AUM722.9m	#Funds-
Adviser ST. JAMES 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-	AUM511.5m	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker808524409	Stock NameSCHWAB STRATEGIC TR	$ Position$79,244,085	% Position7.00%	$ Change22.00%	# Change7.00%
Stck Ticker46090E103	Stock NameINVESCO QQQ TR	$ Position$58,412,919	% Position5.00%	$ Change35.00%	# Change6.00%
Stck Ticker67066G104	Stock NameNVIDIA CORPORATION	$ Position$47,668,652	% Position4.00%	$ Change15.00%	# Change0.00%
Stck Ticker037833100	Stock NameAPPLE INC	$ Position$47,094,887	% Position4.00%	$ Change16.00%	# Change2.00%
Stck Ticker37954Y673	Stock NameGLOBAL X FDS	$ Position$33,960,803	% Position3.00%	$ Change21.00%	# Change5.00%
Stck Ticker72201R775	Stock NamePIMCO ETF TR	$ Position$39,936,117	% Position3.00%	$ Change9.00%	# Change9.00%
Stck Ticker46654Q757	Stock NameJ P MORGAN EXCHANGE TRADED F	$ Position$23,272,070	% Position2.00%	$ Change	# Change
Stck Ticker37954Y632	Stock NameGLOBAL X FDS	$ Position$22,687,161	% Position2.00%	$ Change48.00%	# Change5.00%
Stck Ticker44053A556	Stock NameHORIZON FDS	$ Position$27,263,416	% Position2.00%	$ Change16.00%	# Change1.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$22,136,397	% Position2.00%	$ Change-1.00%	# Change-2.00%

Brochure Summary

Overview

Our firm manages assets for many different types of clients to help meet their financial goals while remaining sensitive to risk tolerance and time horizons. As a fiduciary, it is our duty to always act in the client’s best interest. This is accomplished in part by knowing the client. Our firm has established a service-oriented advisory practice with open lines of communication. Working with clients to understand their investment objectives while educating them about our process, facilitates the kind of working relationship we value. Our firm sponsors and offers a wrap fee program, which allows clients to pay a single fee for investment advisory services and associated custodial transaction costs. Transaction fees will be paid by our firm based on a percentage of the dollar amount of assets in the account(s) or via individual transaction charges. Because our firm absorbs client transaction fees, an incentive exists to limit trading activities in client accounts. Custodial transaction costs, however, are not included in the advisory fee charged by our firm for non-wrap services, and are to be paid by the client to their chosen custodian. Depending on the client’s account or portfolio trading activity, clients may pay more for using our wrap fee services than they would for using our non-wrap services. Our recommended custodians do not charge transaction fees for U.S. listed equities and exchange traded funds. Additionally, through our relationship with Cambridge Research Inc., your assets may be custodied at National Financial Services LLC and Fidelity Brokerage Services (collectively “Fidelity”) which eliminated transaction fees for U.S. listed equities and exchange traded funds for clients who opt into electronic delivery of statements or maintain at least $1 million in assets at Fidelity. Since we pay the transaction fees charged by the custodian to clients participating in our wrap fee program, this presents a conflict of interest because we are incentivized to recommend equities and exchange traded funds over other types of securities in order to reduce our costs. Our Wrap Advisory Services Cooper McManus Wrap Asset Management: As part of our Cooper McManus Wrap Asset Management service, a portfolio is created, consisting of individual stocks, bonds, exchange traded funds (“ETFs”), options, mutual funds and other public and private securities or investments. The client’s individual investment strategy is tailored to their specific needs and may include some or all of the previously mentioned securities. Portfolios will be designed to meet a particular investment goal, determined to be suitable to the client’s circumstances. Once the appropriate portfolio has been determined, portfolios are continuously and regularly monitored, and if necessary, rebalanced based upon the client’s individual needs, stated goals and objectives. The maximum annual fee charged for this service will not exceed 2.10%. Fees to be assessed will be outlined in the advisory agreement to be signed by the Client. Fees are negotiable and will be deducted from client

account(s). Adjustments will be made for deposits that exceed $1,000. In rare cases, our firm will agree to directly invoice. As part of this process, Clients understand the following: a) The client’s independent custodian sends statements at least quarterly showing the market values for each security included in the Assets and all account disbursements, including the amount of the advisory fees paid to our firm; b) Clients will provide authorization permitting our firm to be directly paid by these terms. Our firm will send an invoice directly to the custodian; and ADV Part 2A, Appendix 1 – Wrap Fee Brochure Page 5 Cooper McManus c) If our firm sends a copy of our invoice to the client, legend urging the comparison of information provided in our statement with those from the qualified custodian will be included. When deemed suitable to the client our firm utilizes the sub-advisory services of third-party investment advisory firms or individual advisors to aid in the implementation of an investment portfolio designed by our firm. Before selecting a firm or individual, our firm will ensure that the chosen party is properly licensed or registered. For any sub-advisory services rendered to our clients, our firm typically compensates third party investment advisory firms or individual advisors a percentage of the overall investment advisory fee charged by our firm. If the fee is in addition to the fee charged by our firm, it shall be set forth in a separate agreement between the client and the designated third party. Other Types of Fees & Expenses: In addition to our advisory fees above, clients may also pay holdings charges imposed by the chosen custodian for certain investments, charges imposed directly by a mutual fund, index fund, or exchange traded fund, which shall be disclosed in the fund’s prospectus (i.e., fund management fees, initial or deferred sales charges, mutual fund sales loads, 12b-1 fees, surrender charges, variable annuity fees, IRA and qualified retirement plan fees, and other fund expenses), mark-ups and mark- downs, spreads paid to market makers, fees for trades executed away from custodian, wire transfer fees and other fees and taxes on brokerage accounts and securities transactions. Our firm does not receive a portion of these fees. Termination and Refunds: Either party may terminate the advisory agreement signed with our firm for Cooper McManus Wrap Asset Management services in writing at any time. Upon notice of termination our firm will process a pro-rata refund of the unearned portion of the advisory fees charged in advance or send a bill for pro rata fees due in arrears. Wrap Fee Program Recommendations: In exchange for a percentage of the overall fee charged, our firm recommends the use of Cambridge Research Inc.’s wrap services via the WealthPort Wrap Fee Program. This creates an incentive to recommend client use of these services rather than a non-wrap program as our firm and the wrap program’s sponsor may stand to earn higher fees if client accounts are not actively traded.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

Need help?

Send a question to 9AT support.