9AT: KNICKERBOCKER ADVISORS INC.

Adviser Profile

As of Date	10/08/2025
Registration status	Terminated
ADV Location	PINE PLAINS, NY, United States
Contact Info	518 xxxxxxx
Websites

AUM^*	158,617,886
of that, discretionary	158,617,886
Number of Employees	1 -50%
of those in investment advisory functions	1 -50%
Private Fund GAV^*	0
Avg Account Size	1,496,395
% High Net Worth	79.41%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses

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 EMERALD ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM941.4m	#Funds-
Adviser WEST END 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-	AUM170.4m	#Funds-
Adviser SAGE RHINO CAPITAL LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM883.7m	#Funds-
Adviser FLOURISH WEALTH MANAGEMENT INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM455.2m	#Funds-
Adviser GALECKI FINANCIAL MANAGEMENT INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM929.5m	#Funds-
Adviser THE FINANCIAL ADVISORY GROUP, LLC	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 NEW WORLD ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM884.9m	#Funds-
Adviser CONCENTUS WEALTH ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.1b	#Funds-
Adviser SOURCE 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-	AUM519.5m	#Funds-
Adviser ADVISORY PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM233.4m	#Funds-

Brochure Summary

Overview

Form ADV Part 2A, Item 4 Knickerbocker Advisors Inc.’s registration was granted by the United States Securities and Exchange Commission on April 11, 2006. John Henry Low (CRD Number 2574180) owns one hundred (100%) percent of the equity of the firm and is the President, Secretary, Treasurer and Chief Compliance Officer. Constanza Low (CRD Number 4490651) is Vice President of the firm. The firm is not publicly owned or traded. There are no indirect owners of the firm. The firm manages each client’s portfolio on an individualized basis. Clients may impose restrictions on their accounts. The firm does not sponsor any wrap programs. As of December 31, 2023, the firm managed assets on a discretionary basis in the amount of $136,254,189, representing 98 accounts. The Firm offers asset management services including investment advice and investment supervisory services on a discretionary basis to individuals, corporations, pensions and other retirement accounts, trusts, estates, charitable organizations and other entities. This service includes asset allocation and investment recommendation and selection based on the client’s financial positions and investment goals. Investment selection includes equities, fixed income, real estate and commodities in all forms, bought usually, but not exclusively, through mutual funds and exchange traded funds (ETFs). For such services, the Firm receives an asset management

fee, usually based upon a percentage of the market value of assets under management or advisory, subject to a minimum fee charge. This fee schedule appears below. Firm may negotiate fees which vary from this schedule. Firm may aggregate related account totals for the purpose of fee calculation. Customized products and services may be requested by clients and fees for such services may be negotiated separately. Firm does not publish or issue any publications or charts on a fee or subscription basis, but does provide newsletters and studies to its clients and prospective clients from time to time, at no charge. Firm may also offer investment advice on a consulting basis, without managing assets. The fee for this service is also noted on the fee schedule below. Firm may negotiate consulting fees which vary from this schedule. The Firm from time to time may offer advice on matters not involving securities, including advice pertaining to banking, debt, planning, etc. Charges for such advice are subject to negotiation, and may be on a fixed fee or hourly basis. With respect to fixed fees, these will generally be payable upon completion of the project. However, there may be situations in which a retainer payment is required. For clients of investment advisory services, such fees for the offer of matters not pertaining directly to investment advice are usually included in the asset management fee.

KNICKERBOCKER ADVISORS INC.

KNICKERBOCKER 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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KNICKERBOCKER ADVISORS INC. KNICKERBOCKER ADVISORS INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

KNICKERBOCKER ADVISORS INC.

KNICKERBOCKER ADVISORS INC.