9AT: EMBREE FINANCIAL GROUP

Adviser Profile

As of Date	02/13/2026
Registration	SEC, Approved, 09/23/2004
Other registrations (1)	Illinois, Terminated, 09/23/2004
ADV Location	CHICAGO, IL, United States
Contact Info	312 xxxxxxx
Websites

AUM^*	2,644,868,887 29%
of that, discretionary	2,636,416,306 43%
Number of Employees	19 -5%
of those in investment advisory functions	14 -13%
Private Fund GAV^*	0
Avg Account Size	1,112,224 -57%
% High Net Worth	38.78% 55%
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
- Other

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

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based 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 PYA WALTMAN CAPITAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.0b	#Funds-
Adviser MOUNTAIN HILL INVESTMENT PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM539.0m	#Funds-
Adviser CEF ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM186.3m	#Funds-
Adviser BAKER TILLY 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-	AUM4.6b	#Funds-
Adviser SALING, SIMMS, ASSOCIATES INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM296.7m	#Funds-
Adviser CAPSOUTH WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.0b	#Funds-
Adviser TPG 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-	AUM2.2b	#Funds-
Adviser GREENLINE PARTNERS	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 HARBOR INVESTMENT ADVISORY, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM6.9b	#Funds-
Adviser PERCEPTIVE EDGE INVESTMENT MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM505.0m	#Funds-

Brochure Summary

Overview

EMBREE FINANCIAL Group was founded in 1994 to provide holistic, fee-based financial planning, investment management and retirement plan consulting to both individuals and institutions. Paul M. Embree is the Principal Owner of EMBREE FINANCIAL Group. EMBREE FINANCIAL Group provides investment supervisory services, such as financial planning, retirement planning, discretionary investment management, ongoing portfolio reporting, including statements and portfolio analytics. The firm also advises clients on matters not involving securities, such as cash flow analysis, taxation, education funding, trust structure, and insurance. As of December 31st, 2023, EMBREE FINANCIAL Group manages approximately $1,848,151,161 in discretionary assets and approximately $195,257,987 in non-discretionary assets. Wealth Management service is provided through consultation with clients, which may include the following: determination of financial objectives, identifying financial challenges, cash flow management, tax planning, insurance review, investment management, education funding, retirement planning, and estate planning. The Retirement Plan Services division of EMBREE FINANCIAL Group provides core consulting services to both public and private corporations offering defined benefit and defined contribution plans

to their employees. The range of services provided by EMBREE FINANCIAL Group to its retirement plan clients includes plan governance and fiduciary oversight, Investment Policy Statements, regular plan level reviews, ongoing investment selections and management, employee education and advice, and quarterly participant communication. EMBREE FINANCIAL Group specializes in creating customized investment strategies that reflect each client’s goals. These goals and objectives are documented in our client relationship management system. Investment Policy Statements may be created that reflect those stated goals and objectives. A client may place restrictions on the strategies to be used in their portfolio, and the characteristics of assets to be held in their portfolio. EMBREE FINANCIAL Group makes investment decisions for clients as a fiduciary, with limited power of attorney. Other professionals (e.g., lawyers, accountants, insurance agents, etc.) are engaged directly by the client on an as- needed basis. Conflicts of interest will be disclosed to the client in the unlikely event they should occur. The initial meeting, which may be by telephone, is free of charge and is considered an exploratory interview to determine the extent to which financial planning and investment management may be beneficial to the client.

EMBREE FINANCIAL GROUP

EMBREE FINANCIAL GROUP

MOODY INVESTMENT ADVISORS, 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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EMBREE FINANCIAL GROUP EMBREE FINANCIAL GROUP MOODY INVESTMENT ADVISORS, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

EMBREE FINANCIAL GROUP

EMBREE FINANCIAL GROUP

MOODY INVESTMENT ADVISORS, INC.