9AT: TOMPKINS & CO.

Adviser Profile

As of Date	03/19/2026
Registration	SEC, Approved, 04/27/2011
Contact Info	303 xxxxxxx
Websites

AUM^*	355,000,000 12%
of that, discretionary	15,000,000 -35%
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	118,333,333 12%
% High Net Worth	100.00%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- High net worth individuals

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management

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 LOBNEK 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-	AUM12.5m	#Funds-
Adviser CWM PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM59.8m	#Funds-
Adviser SEQUOIA PLANNING & INVESTMENTS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM160.0m	#Funds-
Adviser CARDIFF PARK ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.0b	#Funds-
Adviser IWP 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-	AUM4.3b	#Funds-
Adviser SAFFORD NICHOLAS H & CO INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.8b	#Funds-
Adviser FLOREK FINANCIAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM511.0m	#Funds-
Adviser SENTRY ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.4b	#Funds-
Adviser GLOBAL INVESTMENT ADVISER LC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM276.4m	#Funds-
Adviser FLORENCE CAPITAL ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund59.1m	Other Fund-	Total Private Fund GAV118.1m	AUM65.2m	#Funds14

Brochure Summary

Overview

A. Description of the Advisory Firm South Lakeview, LLC is a Limited Liability Company organized in the state of Colorado. This firm has been in business since March 27, 2011, and the principal owner is James Benjamin Tompkins. B. Types of Advisory Services South Lakeview, LLC (hereinafter “Tompkins & Co.”) offers the following services to advisory clients: Investment Supervisory Services Tompkins & Co. offers ongoing portfolio management services based on the individual goals, objectives, time horizon, and risk tolerance of each client. Tompkins & Co. creates an Investment Policy Statement for each client, which outlines the client’s current situation (income, tax levels, and risk tolerance levels) and then constructs a plan (the Investment Policy Statement) to aid in the selection of a portfolio that matches each client’s specific situation. Investment Supervisory Services include, but are not limited to, the following: • Investment strategy • Personal investment policy • Asset allocation • Asset selection • Risk assessment • Regular portfolio monitoring Tompkins & Co. evaluates the current investments of each client with respect to their risk tolerance levels and time horizon. Risk tolerance levels are documented in the Investment Policy Statement, which is given to each client. The Investment Policy Statement is updated periodically, as required based on material changes to a client’s financial circumstance.

Services Limited to Specific Types of Investments Tompkins & Co. limits its money management to mutual funds, equities, bonds, fixed income, debt securities, ETFs, REITs, and government securities. Tompkins & Co. may use other securities as well to help diversify a portfolio when applicable. C. Client Tailored Services and Client Imposed Restrictions Tompkins & Co. offers the same suite of services to all of its clients. However, specific client investment strategies and their implementation are dependent upon the client Investment Policy Statement which outlines each client’s current situation (income, tax levels, and risk tolerance levels) and is used to construct a client specific plan to aid in the selection of a portfolio that matches restrictions, needs, and targets. Clients may impose restrictions in investing in certain securities or types of securities in accordance with their values or beliefs. However, if the restrictions prevent Tompkins & Co. from properly servicing the client account, or if the restrictions would require Tompkins & Co. to deviate from its standard suite of services, Tompkins & Co. reserves the right to terminate the relationship. D. Wrap Fee Programs Tompkins & Co. does not sponsor or participate in any wrap fee programs. E. Amounts Under Management As of March 28, 2024 Tompkins & Co. had approximately $318 million under management. Tompkins & Co. manages client funds on both a discretionary and non- discretionary basis.

TOMPKINS & CO.

TOMPKINS & CO.

SOUTH LAKEVIEW, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

Need help?

Send a question to 9AT support.

TOMPKINS & CO. TOMPKINS & CO. SOUTH LAKEVIEW, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

TOMPKINS & CO.

TOMPKINS & CO.

SOUTH LAKEVIEW, LLC