9AT: POINTOAK RETIREMENT ADVISORS

Adviser Profile

As of Date	03/04/2026
Registration	SEC, Approved, 08/02/2021
ADV Location	MCLEAN, VA, United States
Contact Info	703 xxxxxxx
Websites

AUM^*	1,078,990,787 298%
of that, discretionary	11,893,329 -96%
Number of Employees	3 50%
of those in investment advisory functions	3 50%
Private Fund GAV^*	0
Avg Account Size	9,222,143 145%
% High Net Worth	0.97% 100%
SMA’s	No
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

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Pension consulting services

Compensation Arrangments

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

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 KEELAN CAPITAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM561.4m	#Funds-
Adviser BROOKLYN INVESTMENT GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM4.0b	#Funds-
Adviser KARNER BLUE CAPITAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM72.8k	#Funds-
Adviser UX WEALTH PARTNERS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.9b	#Funds-
Adviser SIGNAL ADVISORS WEALTH, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.7b	#Funds-
Adviser MARSTONE LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.8m	#Funds-
Adviser OTTER CREEK ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM229.7m	#Funds-
Adviser RISK PARADIGM GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM115.6m	#Funds-
Adviser SPIRIT OF AMERICA MANAGEMENT CORP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM540.0m	#Funds-
Adviser JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM212.1b	#Funds-

Brochure Summary

Overview

We do not have to pay the broker-dealer for these services and no client is charged for these services. Therefore, we receive a benefit. The products or services received may benefit all of our clients, not just those whose assets are custodied at the broker-dealer who provides the products or services. This may result in higher transaction costs than those that would have been incurred but for the soft dollar benefits. This is a conflict of interest because we have an incentive to recommend Schwab over other broker-dealers/custodians because of our existing relationship and the benefits we receive. We mitigate this conflict by conducting best execution reviews and through application of our policies and procedures. We have determined that the transaction charges we incur and charge to the client are reasonable in relation to the value of the services received. Brokerage for Client Referrals PointOak does not receive client referrals or compensation of any kind from broker-dealers or other third parties in exchange for using any particular broker-dealer. Directed Brokerage We routinely recommend that the client direct our Firm to execute transactions through broker- dealers with which we

have a business relationship. As such, we may be unable to achieve the most favorable execution of the client’s transactions and the client may pay higher brokerage commissions than the client might otherwise pay through another broker-dealer that offers the same types of services. If clients prefer to utilize their own broker-dealer, we will not be able to provide wealth management services to those clients. Order Aggregation PointOak does not aggregate client orders. Because we do not engage in block trading, sequential transactions we execute for different clients in the same security may lead to materially different prices paid for the security or received on the sale of the security. This may have the effect, either on a per-transaction basis or over the long term, of favoring some of our clients over others. However, that is not our intention. Sub-advisers may aggregate trades consistent with their own policies. For 55ip, orders involving the same investment opportunity are aggregated throughout each trading day when the accounts utilize the same custodian. Partially completed orders will generally be allocated among participating accounts on a pro-rated (in proportion) average price basis.

POINTOAK RETIREMENT ADVISORS

POINTOAK RETIREMENT ADVISORS

POINTOAK RETIREMENT ADVISORS, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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POINTOAK RETIREMENT ADVISORS POINTOAK RETIREMENT ADVISORS POINTOAK RETIREMENT ADVISORS, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

POINTOAK RETIREMENT ADVISORS

POINTOAK RETIREMENT ADVISORS

POINTOAK RETIREMENT ADVISORS, LLC