9AT: GARRISON BRADFORD & ASSOCIATES INC

Adviser Profile

As of Date	03/31/2026
Registration	SEC, Approved, 08/29/1975
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	138,342,991 12%
of that, discretionary	138,342,991 12%
Number of Employees	3 50%
of those in investment advisory functions	3 50%
Private Fund GAV^*	0
Avg Account Size	1,441,073 -39%
% High Net Worth	55.79% -29%
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

Advisory Activities

- Financial planning services
- 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 RAY\|THEIL 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-	AUM220.9m	#Funds-
Adviser CONCENTRIC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM13.9b	#Funds-
Adviser CATALYST PRIVATE WEALTH, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM370.4m	#Funds-
Adviser MODERN CAPITAL GROUP LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM42.5m	#Funds-
Adviser PGP WEALTH SERVICES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM83.1m	#Funds-
Adviser GARLAND 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-	AUM178.7m	#Funds-
Adviser PINNEY & SCOFIELD, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM858.7m	#Funds-
Adviser OPTIMIST RETIREMENT GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM245.3m	#Funds-
Adviser AVION WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM984.6m	#Funds-
Adviser AVESTAR CAPITAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund20.1m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund42.0m	Total Private Fund GAV62.0m	AUM2.1b	#Funds4

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker22160K105	Stock NameCOSTCO WHOLESALE CORPORATION	$ Position$8,413,362	% Position10.00%	$ Change	# Change
Stck Ticker74762E102	Stock NameQUANTA SVCS INC	$ Position$7,954,274	% Position9.00%	$ Change	# Change
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$6,826,186	% Position8.00%	$ Change	# Change
Stck Ticker09260D107	Stock NameBLACKSTONE INC	$ Position$6,774,720	% Position8.00%	$ Change	# Change
Stck Ticker91324P102	Stock NameUNITEDHEALTH GROUP INC	$ Position$5,980,834	% Position7.00%	$ Change	# Change
Stck Ticker883556102	Stock NameTHERMO FISHER SCIENTIFIC INC	$ Position$4,819,182	% Position5.00%	$ Change	# Change
Stck Ticker023135106	Stock NameAMAZON COM INC	$ Position$4,688,006	% Position5.00%	$ Change	# Change
Stck Ticker02079K305	Stock NameALPHABET INC	$ Position$3,945,221	% Position4.00%	$ Change	# Change
Stck Ticker808513105	Stock NameCHARLES SCHWAB CORP (THE)	$ Position$3,279,568	% Position4.00%	$ Change	# Change
Stck Ticker16411R208	Stock NameCHENIERE ENERGY INC	$ Position$3,961,736	% Position4.00%	$ Change	# Change

Brochure Summary

Overview

Garrison, Bradford & Associates, Inc. (GBA) is a fee-based investment adviser registered with the United States Securities and Exchange Commission under the Investment Advisers Act of 1940. We provide discretionary, separate account investment management services to individuals, tax-exempt entities, and investment partnerships. The firm was founded in 1974 as Garrison Asset Management by William G. Garrison, formerly a partner at Century Capital. The name changed to Garrison, Keogh & Company in 1976 when Thomas F. Keogh joined from White Weld & Company. William Bradford, who had been President of NSR Asset Management, joined in 1984, and the firm’s name changed to Garrison, Bradford & Associates in 1990 when Mr. Keogh retired. Mr. Garrison retired and sold his stock to Mr. Bradford in December 2021, making Mr. Bradford the sole owner of GBA. In 2022 and 2023, he sold 46% of the company to Ms. Sherli Looi, Executive Vice President and long-time employee. Our advisory contracts grant us discretionary authority to buy and sell securities for our clients, but not to maintain physical custody of their assets nor to withdraw cash from

their account except, with their authorization, for the payment of our fee. As discussed in greater detail in the “Investment Strategy” section, we invest in a broad mix of publicly traded stocks, open- and closed-end funds, fixed income securities and cash instruments with the goal of earning an “optimum” long-term return for our clients. Each client’s portfolio is managed by the firm’s senior portfolio managers. Each portfolio is managed separately and is tailored to that client’s individual goals and objectives. We consult regularly with clients and will take directions concerning legacy (generally low-cost) positions. We will also honor restrictions that clients may impose on investing in certain securities or types of securities. However, we believe that an investment manager’s results can be fairly judged only if he has full investment discretion, i.e., the authority to make the final investment decision. On December 31, 2023, GBA’s Regulatory Assets Under Management totaled approximately $123 million in 52 separately managed discretionary accounts. Advisory fees on those accounts are the firm’s only source of revenue.

GARRISON BRADFORD & ASSOCIATES INC

GARRISON BRADFORD & ASSOCIATES INC

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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GARRISON BRADFORD & ASSOCIATES INC GARRISON BRADFORD & ASSOCIATES INC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

GARRISON BRADFORD & ASSOCIATES INC

GARRISON BRADFORD & ASSOCIATES INC