The Abernathy Group II LLC (“TAG”) is financial planning and investment management firm that was founded in 2009. TAG is owned 100% by Steven Abernathy. TAG provides three primary types of services: (1) The Abernathy Group II Family Office, (2) The Abernathy Group II Separately Managed Accounts (collectively “Families”), and (3) Investment management to a private fund. In addition, TAG offers pension consulting services. The Abernathy Group II Family Office (the “Family Office”) The Family Office advice is provided through private consultation with the family and may include: medical practice integration counseling, medical practice management, marketing, and valuation. We will help our families:
• Legally protect their assets from litigation,
• Adopt strategies to legally reduce taxes,
• Help Families with medical challenges access world class medical care,
• Coordinate estate planning services to effectively manage each family’s wealth across generations,
• Create financial objectives and build financial plans to meet those objectives
• Gain access to management firms potentially unavailable to the public,
• Identify solutions for financial problems,
• Coordinate practice management, practice integration, practice marketing and practice valuation with experts,
• Optimize cash flow management,
• Organize financial affairs to save time each month,
• Review insurance policy coverage,
• Create education funding for family members and philanthropy Educational seminars/workshops Publication of periodicals or newsletter
• Create complete retirement planning strategies, and, We will also integrate a Family Office member’s current providers to insure legal, accounting, estate planning, practice management, investment management and access to medical facilities, are all working together in the family’s best interests. This allows the professional to spend more time with their career and family and improve their quality of life. On more than an occasional basis, TAG may furnish advice to families on matters not involving securities, such as family financial education and expectations counseling, legal asset protection structures, financial planning matters, retirement planning, cash flow analysis, taxation issues, and trust services that often include estate planning. In instances where TAG does not have valuable advice to offer, we will call in experts, who operate independently, with no affiliation to TAG. In these instances, the Abernathy Group II LLC will not share in any compensation agreed to between the family requesting access to the specific expert, and the expert (or their firm), to avoid any conflicts of interest. The goals and objectives for each family are documented in our family Investment Policy Statement which is created at the beginning stages of the relationship. Investment Policy Statements are created to reflect the stated goals and objectives of each family, list the assets covered under the advisory agreement and provide restrictions, if any, the family would like to enforce. Families may impose restrictions on investing in certain securities or types of securities. TAG also offers Business Advisory Services to Family Office clients. These services include a broad range of offerings such as preparing the family business for sale, succession planning, marketing their business, employee relations, and strategies for increasing self-employed income among many others. The Abernathy Group II Separately Managed Accounts The Abernathy Group II LLC Separately Managed Accounts are customized for each family’s specific needs and time horizon.

The Abernathy Group II LLC generally provides investment advice regarding no-load or low-load mutual funds and exchange- traded funds. It may also provide advice on individual equities, warrants, corporate debt securities, commercial paper, certificates of deposit, municipal securities, investment company securities (variable life insurance, variable annuities, and mutual funds shares), U. S. government securities, options contracts, futures contracts, and interests in partnerships when appropriate. Initial public offerings (IPOs) are not typically available through The Abernathy Group II LLC. However, if a family requests an interest in a specific IPO, and if we are able to secure access to the IPO, The Abernathy Group II LLC will provide the access we are able to secure to the family (at no cost - to avoid conflicts of interest). Separately Managed Accounts may be integrated into the Family Office relationship, or may be offered as a stand-alone financial alternative. Separately Managed Accounts may impose restrictions on investing in certain securities or types of securities. Investment Management to a Private Fund TAG serves as the investment adviser of, and provides discretionary investment management services to The Abernathy Group Growth Fund LP (the “Affiliated Fund”). The terms and conditions for participation in the Affiliated Fund including management and incentive fees, conflicts of interest, and risk factors, are set forth in the fund’s offering documents. This fund is closed, and not available to the investing public. Pension Consulting TAG offers pension consulting services to employee sponsored 401K plans. TAG can provide fund structure, fund record keepers, and Third Party Administrators, and may advise on a selection of mutual funds that plan participants can choose as their funding vehicles, while also providing education to plan participants. The Abernathy Group II accepts no compensation from anyone other than the client, to avoid any conflicts of interest. As of January 1, 2023 TAG has $ 71,122,334in discretionary assets under management. TAG also has approximately. $67,517,032. in non-discretionary under advisement. With respect to assets under advisement, TAG provides investment advice in the same manner it does for discretionary assets under management but TAG does not execute transactions for these accounts. With respect to assets under advisement, TAG provides families with investment recommendations and the families are responsible for implementing such recommendations. Written Acknowledgement of Fiduciary Status When we provide investment advice to you regarding your retirement plan account or individual retirement account, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts. The way we make money creates some conflicts with your interests, so we operate under a special rule that requires us to act in your best interest and not put our interest ahead of yours. Under this special rule’s provisions, we must:
• Meet a professional standard of care when making investment recommendations (give prudent advice);
• Never put our financial interests ahead of yours when making recommendations (give loyal advice);
• Avoid misleading statements about conflicts of interest, fees, and investments;
• Follow policies and procedures designed to ensure that we give advice that is in your best interest;
• Charge no more than is reasonable for our services; and
• Give you basic information about conflicts of interest.