9AT: GUNN & COMPANY INVESTMENT MANAGEMENT, INC.

Adviser Profile

As of Date	02/19/2026
Registration	SEC, Approved, 11/27/2017
Other registrations (3)	Georgia, Terminated, 01/11/2018 Florida, Terminated, 01/08/2018 Texas, Failure to Renew, 12/31/2001
ADV Location	JACKSONVILLE, FL, United States
Contact Info	904 xxxxxxx
Websites

AUM^*	213,528,643 10%
of that, discretionary	213,528,643 10%
Number of Employees	5
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	493,138 4%
% High Net Worth	31.69% -2%
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

- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

Accounting Firm Name	Filing Date	Form ADV-E
Accounting Firm Name ASSURANCE DIMENSIONS	Filing Date09/18/2025	Form ADV-E View Report
Accounting Firm Name ASSURANCE DIMENSIONS CERTIFIED PUBLIC ACCOUNTANTS & ASSOCIATES	Filing Date11/07/2024	Form ADV-E View Report
Accounting Firm Name ASSURANCE DIMENSIONS CERTIFIED PUBIC ACCOUNTANTS & ASSOCIATES	Filing Date09/06/2023	Form ADV-E View Report

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 MARKET STREET WEALTH MANAGEMENT ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM776.0m	#Funds-
Adviser DELOS PRIVATE CLIENT GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM185.6m	#Funds-
Adviser DUMONT & BLAKE INVESTMENT ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM562.3m	#Funds-
Adviser OTTO & ASSOCIATES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM286.6m	#Funds-
Adviser CROSSGATE WEALTH ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM271.9m	#Funds-
Adviser THE ESTATE PLANNERS GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM422.1m	#Funds-
Adviser CAPITAL PLANNING, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM617.7m	#Funds-
Adviser THE PUTNEY FINANCIAL GROUP LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM205.4m	#Funds-
Adviser WELA FINANCIAL ADVISORY	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM657.1m	#Funds-
Adviser SAUBERAN & COMPANY, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM5.8m	#Funds-

Brochure Summary

Overview

GCIM was founded in 1996. GCIM is principally owned by Marshall D. Gunn, Jr. GCIM provides investment advisory services to a variety of clients. Current discretionary assets under management as of December 31, 2023 are approximately $167,623,994. GCIM does not manage any non-discretionary accounts. GCIM assists clients in identifying their financial goals and objectives and provides clients with advice specific to their particular circumstances, which may include, but is not limited to investment strategy and asset allocation, tax considerations, and estate planning. Investment selection and portfolio management are provided by way of a sub-advisory agreement with an unaffiliated third-party money manager, CPS Investment Advisors (“CPS”). GCIM clients and potential clients will receive the SEC Form ADV Part 2 disclosure brochure from GCIM for CPS. Clients may request an updated version of this brochure at any time. GCIM offers investment supervisory services through CPS’s 401(k) Daily Valuation program. This is a service GCIM offers to clients that GCIM has designated as companies. A third-party administrator is hired by CPS to perform accounting and document preparation functions. GCIM clients complete an Investment Policy Statement, which outlines a client’s goals, risk tolerances, investment horizon, among other things. The Investment Policy Statement

also allows for a client to provide specific instructions or restrictions regarding the management of their portfolio. CPS manages the client’s portfolio based upon the client’s individual needs as exhibited in the client’s Investment Policy Statement. When appropriate to the needs of the client, margin transactions may be recommended within the client’s Investment Policy Statement. Because these margin transactions involve a certain additional degree of risk, they will only be recommended when consistent with the client’s stated tolerance for risk. ERISA Accounts: GCIM is deemed to be a fiduciary to advisory clients that are employee benefit plans or individual retirement accounts (IRAs) pursuant to the Employee Retirement Income and Securities Act ("ERISA"), and regulations under the Internal Revenue Code of 1986 (the "Code"), respectively. As such, GCIM is subject to specific duties and obligations under ERISA and the Code that include, among other things, restrictions concerning certain forms of compensation. To avoid engaging in prohibited transactions, GCIM may only charge fees for investment advice about products for which GCIM and/or our related persons do not receive any commissions or 12b-1 fees, or conversely, investment advice about products for which GCIM and/or our related persons receive commissions or 12b-1 fees, however, only when such fees are used to offset GCIM's advisory fees.

GUNN & COMPANY INVESTMENT MANAGEMENT, INC.

GUNN & COMPANY INVESTMENT MANAGEMENT, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

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Brochure Summary

Overview

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GUNN & COMPANY INVESTMENT MANAGEMENT, INC. GUNN & COMPANY INVESTMENT MANAGEMENT, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Brochure Summary

Overview

GUNN & COMPANY INVESTMENT MANAGEMENT, INC.

GUNN & COMPANY INVESTMENT MANAGEMENT, INC.