9AT: SIERRA FINANCIAL ADVISORY

SIERRA FINANCIAL ADVISORY

SIERRA FINANCIAL ADVISORY

JOSEPH TOMKIEWICZ

SIERRA FINANCIAL ADVISORY INCORPORATED

MICHAEL TOMKIEWICZ

Adviser Profile

As of Date	03/03/2026
Registration	SEC, Approved, 08/22/2019
Other registrations (2)	California, Terminated, 09/21/2019 Texas, Terminated, 08/22/2019
Contact Info	530 xxxxxxx
Websites

AUM^*	144,930,000 37%
of that, discretionary	138,586,000 37%
Number of Employees	2
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	317,133 31%
% High Net Worth	24.86% 14%
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
- Fixed fees (other than subscription fees)
- Commissions

Reported AUM

139M 119M 99M 79M 59M 40M 20M

2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Sierra Financial Advisory, Inc. (SFA) is a registered investment advisor. SFA is registered with the Securities and Exchange Commission (SEC). SFA was incorporated in 2004 by the current owner, Joe Tomkiewicz. Investment Philosophy Our mission is to provide tailored advice and investment management to help individuals realize their financial goals. The process begins with financial planning when we sit down with you and get to know who you are and what you are working toward that requires financial resources. Together, we will define your current and long-term financial needs. From this information, we will design a realistic, personalized investment strategy and monitor the selected portfolio over time for proper asset allocation, risk exposure, and to assess actual performance against your original investment goals. Sierra Financial Advisory is an independent registered investment advisor with no proprietary products to promote or sell. Portfolios are designed with one objective in mind, to maximize the chances of our clients' success. We view each of our relationships in the context of a process that evolves over time. If your financial situation changes, we will always be ready to adjust your portfolio. Our primary commitment is to your long-term financial success. While we aim for capital appreciation, we also manage assets with the knowledge that our typical client has entrusted us with their nest egg. Our strategy is not designed

to make our clients rich, but rather to help them maintain the lifestyle to which they have become accustomed. SFA provides investment supervisory services to its clients. Compensation for these services may vary according to the agreement made with the client (see the Fees and Compensation section for details). The majority of the assets managed by SFA are on a discretionary basis. This means that SFA has the client’s permission to make investment changes, buys and sells, on the client’s behalf. If the client wishes to impose restrictions on certain types of securities, SFA will accommodate these wishes if they are feasible under the normal operation of business. Such restrictions should be approved by both the client and SFA and listed on the Advisory Agreement. SFA also manages assets on a non-discretionary or commission basis. These are transaction based accounts and require client permission for each trade. Approximately 98% of SFA’s business is performed on a discretionary basis. P a g e | 6 As of 01/01/2023, Discretionary assets under management $100,973,854 Non-discretionary assets $ 5,026,146 Total Assets under management $106,000,000 Material conflicts of interest are disclosed in this document relating to SFA, its representatives, or any of its employees, which could be reasonably expected to impair the rendering of unbiased and objective advice. Please see Item 7 on page 8.

SIERRA FINANCIAL ADVISORY

SIERRA FINANCIAL ADVISORY

JOSEPH TOMKIEWICZ

SIERRA FINANCIAL ADVISORY INCORPORATED

MICHAEL TOMKIEWICZ

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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SIERRA FINANCIAL ADVISORY SIERRA FINANCIAL ADVISORY JOSEPH TOMKIEWICZ SIERRA FINANCIAL ADVISORY INCORPORATED MICHAEL TOMKIEWICZ

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

SIERRA FINANCIAL ADVISORY

SIERRA FINANCIAL ADVISORY

JOSEPH TOMKIEWICZ

SIERRA FINANCIAL ADVISORY INCORPORATED

MICHAEL TOMKIEWICZ