9AT: PROSPECT HILL MANAGEMENT, LLC

PROSPECT HILL MANAGEMENT, LLC

PROSPECT HILL MANAGEMENT, LLC

Adviser Profile

As of Date	03/25/2026
Registration	SEC, Approved, 05/03/2021
Other registrations (1)	New Jersey, Terminated, 06/22/2021
Contact Info	908 xxxxxxx

AUM^*	256,582,019 47%
of that, discretionary	256,582,019 47%
Number of Employees	2
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	6,579,026 58%
% High Net Worth	89.74% -1%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pooled investment vehicles
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Reported AUM

257M 220M 183M 147M 110M 73M 37M

2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker037833100	Stock NameAPPLE INC	$ Position$146,370,441	% Position57.00%	$ Change14.00%	# Change0.00%
Stck Ticker88160R101	Stock NameTESLA INC	$ Position$42,390,592	% Position16.00%	$ Change13.00%	# Change0.00%
Stck Ticker67066G104	Stock NameNVIDIA CORPORATION	$ Position$12,374,166	% Position5.00%	$ Change123.00%	# Change94.00%
Stck Ticker023135106	Stock NameAMAZON COM INC	$ Position$12,582,684	% Position5.00%	$ Change15.00%	# Change0.00%
Stck Ticker02079K305	Stock NameALPHABET INC	$ Position$10,013,507	% Position4.00%	$ Change25.00%	# Change1.00%
Stck Ticker02079K107	Stock NameALPHABET INC	$ Position$10,606,967	% Position4.00%	$ Change23.00%	# Change0.00%
Stck Ticker060505104	Stock NameBANK OF AMERICA CORP	$ Position$5,270,650	% Position2.00%	$ Change-8.00%	# Change-21.00%
Stck Ticker46120E602	Stock NameINTUITIVE SURGICAL INC	$ Position$5,895,606	% Position2.00%	$ Change-12.00%	# Change2.00%
Stck Ticker64110L106	Stock NameNETFLIX INC	$ Position$4,534,900	% Position2.00%	$ Change-25.00%	# Change2.00%
Stck Ticker883556102	Stock NameTHERMO FISHER SCIENTIFIC INC	$ Position$1,504,080	% Position1.00%	$ Change2.00%	# Change0.00%

Brochure Summary

Overview

Prospect Hill Management, LLC is a U.S. Securities and Exchange Commission registered investment adviser with its principal place of business located in New Jersey. Prospect Hill Management, LLC began conducting business in 2000. Listed below are the firm's principal shareholders (i.e., those individuals and/or entities controlling 25% or more of this company). ● John Thomas McColgan, President Prospect Hill Management, LLC offers the following advisory services to our clients: INVESTMENT SUPERVISORY SERVICES ("ISS") INDIVIDUAL PORTFOLIO MANAGEMENT Our firm provides continuous advice to a client regarding the investment of client funds based on the individual needs of the client. Through personal discussions in which goals and objectives based on a client's particular circumstances are established, we develop a client's personal investment policy and create and manage a portfolio based on that policy. During our data-gathering process, we determine the client’s individual objectives, time horizons, risk tolerance, and liquidity needs. As appropriate, we also review and discuss a client's prior investment history, as well as family composition and background. We manage these advisory accounts on a discretionary basis. Account supervision is guided by the client's stated objectives (i.e., maximum capital

appreciation, growth, income, or growth and income), as well as tax considerations. Clients may impose reasonable restrictions on investing in certain securities, types of securities, or industry sectors. Our investment recommendations are not limited to any specific product or service offered by a broker-dealer or insurance company and will generally include advice regarding the following securities: ● Exchange-listed securities ● Securities traded over-the-counter ● Foreign issuers ● Warrants ● Corporate debt securities (other than commercial paper) ● Commercial paper ● Certificates of deposit ● Municipal securities ● Mutual fund shares ● United States governmental securities ● Options contracts on securities ● Options contracts on commodities ● Futures contracts on tangibles ● Futures contracts on intangibles ● Interests in partnerships investing in real estate ● Interests in partnerships investing in oil and gas interests ● Other Because some types of investments involve certain additional degrees of risk, they will only be implemented/recommended when consistent with the client's stated investment objectives, tolerance for risk, liquidity and suitability. AMOUNT OF MANAGED ASSETS As of 12/31/2022, we were actively managing $121,453,065 of clients' assets on a discretionary basis.