9AT: WATTS GWILLIAM & COMPANY, LLC

other names

WATTS GWILLIAM & COMPANY, LLC
WATTS GWILLIAM
OPTIC ASSET MANAGEMENT

Adviser Profile

As of Date	07/07/2025
ADV Location	GILBERT, AZ, United States
Adviser Type - Large advisory firm
Number of Employees	9 -10%
of those in investment advisory functions	6 -14%
Registration	SEC, Approved, 04/23/2004

AUM^*	818,900,000 35%
of that, discretionary	812,800,000 38%
Private Fund GAV^*	8,310,000 -28%
Avg Account Size	710,851 16%
% High Net Worth	91.87% 2%
SMA’s	Yes
Private Funds	3
Contact Info	480 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pooled investment vehicles
- Pension and profit sharing plans
- Charitable organizations

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Fund Type	Count	GAV
Fund TypePrivate Equity Fund	Count1	GAV$3,200,000
Fund TypeReal Estate Fund	Count2	GAV$5,110,000

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 LINCHRIS CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund612.2m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV612.2m	AUM528.3m	#Funds18
Adviser OAKWOOD REAL ESTATE PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund406.4m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV406.4m	AUM497.4m	#Funds19
Adviser XEBEC ASSET MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund379.0m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV379.0m	AUM379.0m	#Funds7
Adviser GOLDENROD 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-	AUM422.7m	#Funds-
Adviser CP CAPITAL (US) PARTNERS LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund127.5m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV127.5m	AUM382.3m	#Funds7
Adviser SOUND MARK PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund277.2m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV277.2m	AUM315.3m	#Funds2
Adviser CITYMARK CAPITAL MANAGEMENT COMPANY LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund555.4m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV555.4m	AUM555.4m	#Funds2
Adviser SHARIAPORTFOLIO, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.2m	Real Estate Fund9.2m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV10.3m	AUM260.9m	#Funds2
Adviser HAWKEYE PARTNERS, LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund214.4m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV214.4m	AUM214.4m	#Funds2
Adviser TRUMAN CAPITAL ADVISORS, LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund531.8m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV531.8m	AUM531.8m	#Funds2

Brochure Summary

Overview

Watts Gwilliam & Company LLC was established in May of 2004. The founding members include Jeffrey Stephen Watts, D. Bradford Gwilliam and David Bruce Watts. As of March 2023, the firm has total assets under management of approximately $586 Million, managed on a discretionary basis. Investment Advisory Services The primary business of Watts Gwilliam & Co., LLC is to provide investment supervisory services. This is done through ongoing portfolio management and oversight. Prior to providing investment advisory services, our process includes an assessment of each client’s individual needs, goals, risk appetite, and time horizon. Thereafter, Watts Gwilliam will allocate, and/or recommend that the client allocate, investment assets consistent with the designated investment objectives. The client may, at any time, impose reasonable restrictions, in writing, on our services. Portfolios receive on-going monitoring and reviews with proactive re-balancing of asset allocation as necessary. Optic Asset Management Optic Asset Management (OAM) is a division of Watts Gwilliam & Co. that oversees the company’s professionally managed option strategies (see Item 8 below). Some clients may engage our firm for

the sole purpose of accessing this strategy and not engaging in other broad- based wealth management services. This is also the name through which we typically offer sub- advisory services. In these situations, advisors unaffiliated with Watts Gwilliam & Co. outsource the investment supervisory services of certain clients to our firm. Details of these arrangements are further discussed in the section entitled Other Financial Industry Activities and Affiliations. Types of Securities Watts Gwilliam & Co. generally limits its money management to Equities, ETFs, Mutual Funds, Bonds, Fixed income, Debt Securities, Hedge Funds, REITs, Private Placements, Government Securities and both listed and over-the-counter options. We may use other securities as well to help diversify a portfolio when applicable. Financial Planning On certain occasions, we advise clients on matters not directly involving securities. This general guidance, commonly considered Financial Planning, may include advice related to issues such as retirement, education, and estate planning. Often, the result of this planning is used to better advise the client on issues related to the investment supervisory services discussed previously.

WATTS GWILLIAM & COMPANY, LLC

Adviser Profile

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Brochure Summary

Overview