9AT: AMAZZ INVESTMENT MANAGEMENT, INC.

Adviser Profile

As of Date	03/18/2026
Registration	SEC, Approved, 04/03/2015
Other registrations (1)	New York, Approved, 05/28/2002
ADV Location	WILLIAMSVILLE, NY, United States
Contact Info	716 xxxxxxx

AUM^*	78,287,308 -10%
of that, discretionary	78,287,308 -10%
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	652,394 6%
% High Net Worth	40.83% 20%
SMA’s	Yes
Private Funds	0

Adviser Type

- Mid-sized advisory firm

Client Types

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

Advisory Activities

- Portfolio management for individuals and/or small businesses

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 TRUNORTH FINANCIAL SERVICES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM309.5m	#Funds-
Adviser MONTGOMERY CAPITAL ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM130.1m	#Funds-
Adviser POLARIS FINANCIAL PLANNING, LLC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM149.7m	#Funds-
Adviser CLOUD INVESTMENTS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM404.0m	#Funds-
Adviser FINANCIAL ADVISOR NETWORK, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM135.0m	#Funds-
Adviser RED OAK CAPITAL MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM85.0m	#Funds-
Adviser HORAN WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM698.2m	#Funds-
Adviser JAMES T. BORELLO & CO.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM514.1m	#Funds-
Adviser KRONOS WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM27.1m	#Funds-
Adviser CROSS FINANCIAL ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM481.8m	#Funds-

Brochure Summary

Overview

Our investment philosophy essentially involves buying the stocks of companies that we believe are currently trading below the price where a competitor or other interested third party would buy the entire company. This is generally a value philosophy. We try to capitalize on those situations where we believe the stock market is inefficient in the short-term and more efficient in the long-term pricing of a particular stock. We believe that over time, the stock market will re-price the company’s stock to properly reflect the company's value, or another company will do so for us. We prefer, but are not wedded to certain financial attributes. We prefer well capitalized balance sheets that provide some floor to the value of the company. We also prefer companies that have a history of profitability, even if profits occasionally fall (few businesses avoid this over many years, but the better ones recover). Finally, we don't like businesses that require consistently high capital reinvestment. This leaves the company always borrowing money (increasing its debt outstanding) or issuing more shares to cover its negative cash flow, neither of which is good for us as a shareholder. It also makes the company vulnerable to falling prices or weak demand for its products. We invest in all size companies, from very small to very large. Our style is to invest in companies regardless of size that we believe

are undervalued. We especially like situations where some temporary bad news has hit the whole industry, which also hurts the stock prices of the better companies. This offers a good opportunity to purchase shares that may be temporarily undervalued. We prefer managements that act in a fiduciary capacity and that are shareholders with us in the company. They are rewarded by increasing their company's stock price as an owner, just like us. For clients that do not seek an individually directed stock program, we can assist them in establishing a mutual fund oriented asset allocation, based on their objectives. We will not use a fund that has a sales charge or "load" fee for which we would be paid. Lastly, we invest our client's money as if it were our own. We don't take the trust they have given us lightly. We view our role as that of preserving and growing the resources, regardless of their size that they have entrusted to us by researching and buying undervalued stocks. We don't guarantee performance results, but you can be assured we will work hard to earn your trust. As markets conditions can and do change rapidly, both positive and negative, we feel it’s important to remind clients that investing in stocks requires a long-term timeframe. If access to all your investment funds is needed in anything less than 5 years, cash and cash equivalents are more suitable than investing in stocks.

AMAZZ INVESTMENT MANAGEMENT, INC.

AMAZZ INVESTMENT MANAGEMENT, INC.

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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AMAZZ INVESTMENT MANAGEMENT, INC. AMAZZ INVESTMENT MANAGEMENT, INC.

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

AMAZZ INVESTMENT MANAGEMENT, INC.

AMAZZ INVESTMENT MANAGEMENT, INC.