9AT: ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT

ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT

ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT

CLEROU ROMAIN PIERRE WALSH

Adviser Profile

As of Date	03/09/2026
Registration	SEC, Approved, 12/10/2019
Other registrations (1)	California, Terminated, 01/15/2020
Contact Info	707 xxxxxxx

AUM^*	218,943,043 34%
of that, discretionary	218,943,043 34%
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	5,212,930 37%
% High Net Worth	78.57% 13%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

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

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

219M 188M 156M 125M 94M 63M 31M

2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Romain Walsh Clerou, Professional Investment Management ("RWC") was organized as a sole proprietorship in 1990. RWC's principal place of business is located at 396 Brown Street Napa, California 94559. Romain Clerou is the sole proprietor and decision maker of RWC. RWC has been providing personal investment supervisory and management services to individuals, retirement plans including pension and profit-sharing plans and trusts (collectively "Client (s)") on a fully discretionary basis without restriction for more than thirty years. RWC tailors a portfolio of stocks, bonds and cash equivalents for each client based on the review of the client's financial condition and investment objectives. Every quarter RWC provides the Client with a Portfolio Report that: 1) summarizes the performance of the client’s portfolio for the three months and compares that performance to an agreed upon benchmark, 2) reviews the financial markets and investment climate, 3) sets forth a detailed statement of the client’s portfolio showing original cost, market value and unrealized gain or loss, and 4) sets forth position by position activity. Periodically, RWC meets with the Client to review the Portfolio Report and investment objectives as well as address any questions raised by the Client. As of December 31, 2023, RWC provided investment management services to 43 clients with assets under management of $163,240,756. Romain Clerou

through RWC has been providing investment advisory and management services for more than thirty years. Mr. Clerou began investing for his own account while in high school and started providing advisory and management services for relatives while attending college at the University of California at Berkeley. Mr. Clerou earned a Bachelor of Science in Business Administration with honors from University of California at Berkeley. While attending college Mr. Clerou passed the Uniform Certified Public Accountants examination and then went to work as an auditor for Deloitte Haskins & Sells (DH&S), a “Big Eight” accounting firm. Mr. Clerou served some of DH&S’ top clients prior to going to work for Charles Schwab & Co., Inc. (Schwab). Mr. Clerou was the manager of Financial Reporting at Schwab prior to starting this advisory business. Mr. Clerou’s core analytical competency is fundamental analysis of company financial statements. Mr. Clerou is a member of Phi Beta Kappa, a national academic honor society. Mr. Clerou has passed the Series 65, Uniform Investment Adviser Law Examination Mr. Clerou surrendered his CPA license in 2008 as he no longer provides CPA services. In the event Mr. Clerou is unable to fulfill his duties as an investment advisor, RWC will contact the Client and the custodian to remove any permissions on the account. Thereafter, Client is solely responsible for management of the account.

ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT

ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT

CLEROU ROMAIN PIERRE WALSH

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT CLEROU ROMAIN PIERRE WALSH

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT

ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT

CLEROU ROMAIN PIERRE WALSH