Tate Private Wealth Advisers is a SEC-registered investment adviser with its principal place of business located in Sacramento, California. Tate Private Wealth Advisers began conducting business in 2005. Listed below are the firm's principal shareholders (i.e., those individuals and/or entities controlling 25% or more of this company).
• Michael Robert Tate, President, Chief Compliance Officer
• Robert L. Tate Jr., Vice President Tate Private Wealth Advisers offers the following advisory services to our Clients: Individual Portfolio Management Our firm provides continuous asset management of Client funds based on the individual needs of the Client. Through personal discussions in which goals and objectives based on the Client's particular circumstances are established, we develop the Client's personal investment policy. We create and manage a portfolio based on that policy. During our data-gathering process, we determine the Client’s individual objectives, time horizons, risk tolerance, and liquidity needs. As appropriate, we may also review and discuss a Client’s prior investment history, as well as family composition and background. As of December 31, 2023, we manage approximately $259,403,512 in client assets on a discretionary basis and approximately $0 in client assets on a non-discretionary basis. Account supervision is guided by the Client's stated objectives (i.e., maximum capital appreciation, growth, income, or growth and income), as well as tax considerations. Once the Client's portfolio has been established, we review the portfolio daily, and if necessary, rebalance the portfolio as needed, based on the Client's individual needs. Our portfolio management services are provided on a discretionary basis. Discretionary portfolio management means we will make investment decisions and place buy or sell orders in your account without contacting you for prior approval of each transaction. These decisions would be made based upon your stated investment objectives. If you wish, you may limit our discretionary authority by placing reasonable restrictions on investing in certain securities, types of securities, or industry sectors. Simply provide us with your restrictions or guidelines in writing. Our investment recommendations primarily consist of mutual funds and exchange traded funds. We may also provide advice regarding exchange-listed securities, securities traded over-the-counter,

certificates of deposit, municipal securities, United States governmental securities, and other existing investments you may hold at the inception of the advisory relationship or on other types of investments for which you ask advice. Because some types of investments involve certain additional degrees of risk, they will only be recommended when consistent with the Client's stated investment objectives, tolerance for risk, liquidity, and suitability. Sub-Advisory Relationships: As part of our overall portfolio management strategy, we may recommend sub advisers to manage all or a portion of your account. All sub advisers recommended by our firm must either be registered as investment advisers or exempt from registration requirements. These sub advisers may specialize in traditional or alternative investments. Factors that we take into consideration when making our recommendations include, but are not limited to, the following: the sub adviser’s performance, methods of analysis, fees, your financial needs, investment goals, risk tolerance, and investment objectives. Once a sub advisory account has been established, we will provide all administrative and clerical duties that are required to service your account. The sub adviser will have little or no direct contact with you. Our responsibility to you will be to: (i) continuously evaluate the performance of your portfolio to ensure the sub adviser selected adheres to your asset allocation guidelines; (ii) make recommendations regarding the sub adviser as market factors and your personal goals dictate, (iii) assume discretionary authority to hire or fire the sub adviser where such action is deemed to be in your best interest. Outsourcing of Certain Investment Operations: Tate Private Wealth Advisers works with various third party service providers, including, among others, Tamarac to help support the operational needs of managing and servicing Client accounts. Authority provided to the outsourced service providers may include, but is not limited to placing transactions with broker-dealers at the direction of Tate Private Wealth Advisers, opening accounts with Client’s account custodian, and facilitating operational requests on the Client’s behalf based on instructions provided by associated persons of Tate Private Wealth Advisers. When providing these services, the third party service provider is acting as an agent of Tate Private Wealth Advisers.