9AT: RAIN CAPITAL MANAGEMENT

Adviser Profile

As of Date	08/28/2024
Registration status	Terminated
ADV Location	PORTLAND, OR, United States
Contact Info	503 xxxxxxx
Websites

AUM^*	379,000,000 1%
of that, discretionary	379,000,000 1%
Number of Employees	6
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	556,535 6%
% High Net Worth	81.22% -3%
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
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- 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 CRESTWOOD ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM8.0b	#Funds-
Adviser SAGE CAPITAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund846.9k	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV846.9k	AUM368.6m	#Funds1
Adviser PARIAX PRIVATE WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM115.4m	#Funds-
Adviser HIGH PINES 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-	AUM184.0m	#Funds-
Adviser GRYPHON FINANCIAL PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund8.1m	Real Estate Fund23.8m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV31.8m	AUM2.4b	#Funds3
Adviser STRATEGIC FINANCIAL PLANNING, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM220.6m	#Funds-
Adviser TFC 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-	AUM1.8b	#Funds-
Adviser BLUEPRINT INVESTING LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM436.3m	#Funds-
Adviser PARK, MILLER, LLC	Hedge Fund2.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.1m	AUM339.8m	#Funds1
Adviser PENNEY FINANCIAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM303.5m	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker464287200	Stock NameISHARES TR	$ Position$30,797,921	% Position22.00%	$ Change0.00%	# Change-1.00%
Stck Ticker922908769	Stock NameVANGUARD INDEX FDS	$ Position$20,989,904	% Position15.00%	$ Change2.00%	# Change2.00%
Stck Ticker464287150	Stock NameISHARES TR	$ Position$16,491,361	% Position12.00%	$ Change-2.00%	# Change-3.00%
Stck Ticker922042742	Stock NameVANGUARD INTL EQUITY INDEX F	$ Position$9,668,337	% Position7.00%	$ Change3.00%	# Change2.00%
Stck Ticker464287440	Stock NameISHARES TR	$ Position$9,533,755	% Position7.00%	$ Change-5.00%	# Change-3.00%
Stck Ticker92206C102	Stock NameVANGUARD SCOTTSDALE FDS	$ Position$3,683,991	% Position3.00%	$ Change-66.00%	# Change-66.00%
Stck Ticker464288646	Stock NameISHARES TR	$ Position$4,210,426	% Position3.00%	$ Change-6.00%	# Change-6.00%
Stck Ticker464287465	Stock NameISHARES TR	$ Position$4,168,422	% Position3.00%	$ Change1.00%	# Change-1.00%
Stck Ticker92206C409	Stock NameVANGUARD SCOTTSDALE FDS	$ Position$2,786,498	% Position2.00%	$ Change-7.00%	# Change-7.00%
Stck Ticker922907746	Stock NameVANGUARD MUN BD FDS	$ Position$3,078,044	% Position2.00%	$ Change-1.00%	# Change1.00%

Brochure Summary

Overview

A Rain Capital Management, LLC (“Rain” “Rain Capital” “we” or “us”) is an independent Portland, Oregon based investment advisory firm providing a variety services to our Clients. This Brochure has been created to provide information relating to the investment advisory and financial planning services we provide to individuals. An SEC registered firm, Rain Capital Management was co-founded in 2011 by David Reichle, Chief Portfolio Strategist and CCO, C. Ellen Kim, Chief Operating Officer, and Chris Abbruzzese, Chief Investment Officer. Our approach uses broadly diversified portfolios and a systematic strategy to manage investments. We follow strict fiduciary standards, putting our Clients’ interests before our own and seeking to avoid conflicts of interest with our Clients. B, C We offer investment advisory and portfolio management services to individuals, their families, and related entities including trusts, estates, charitable organizations (foundations), family investment corporations, partnerships and business entities. Our investment recommendations include mutual funds, individual bonds, and exchange-listed equity securities. For certain Clients that meet suitability requirements, we may recommend alternative investments, including private equity funds. If Clients hold other types of investments, we will advise them on those investments also. Individuals We generally have discretionary authority relating to the investment advisory

services we offer to our individual Clients. See Item 16 below for information regarding discretionary authority. Our advice and services are tailored to the unique objectives of each Client. We formulate client investment objectives after discussing with each new Client their risk tolerance, time horizon, and projected future liquidity needs, current holdings, tax considerations, personal market views and other factors. The investment objective guides us in formulating suitable investment and financial recommendations. We meet with Clients as needed to review portfolio performance, discuss current issues, and re-assess goals and investments plans. Client input, involvement and decision-making are critical parts of the financial planning process and implementation of investment decisions. We provide quarterly Performance Reports which communicate performance vs. objective benchmarks and portfolio holdings and current firm thoughts regarding markets. Clients may impose restrictions on investing in certain securities or types of securities. We consider such restrictions when preparing the Client’s investment strategy. See Item 8 for a description of our investment strategy. D We do not participate in or sponsor any wrap-fee programs E Rain Capital Management, LLC manages $379,000,000 of Client assets on a discretionary basis and $0 Client assets on a non-discretionary basis. This amount was calculated as of December 31, 2023. Part 2A - 5

RAIN CAPITAL MANAGEMENT

RAIN CAPITAL MANAGEMENT

RAIN CAPITAL MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

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RAIN CAPITAL MANAGEMENT RAIN CAPITAL MANAGEMENT RAIN CAPITAL MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

RAIN CAPITAL MANAGEMENT

RAIN CAPITAL MANAGEMENT

RAIN CAPITAL MANAGEMENT, LLC