9AT: PROVIDENCE WEALTH MANAGEMENT LLC

PROVIDENCE WEALTH MANAGEMENT LLC

PROVIDENCE WEALTH MANAGEMENT LLC

Adviser Profile

As of Date	04/14/2026
Registration	SEC, Approved, 02/18/2022
Other registrations (2)	Louisiana, Terminated, 01/25/2023 Tennessee, Terminated, 01/24/2023
ADV Location	KNOXVILLE, TN, United States
Contact Info	865 xxxxxxx
Websites

AUM^*	151,831,467 40%
of that, discretionary	151,831,467 40%
Number of Employees	8 14%
of those in investment advisory functions	3 50%
Private Fund GAV^*	0
Avg Account Size	224,271 32%
% High Net Worth	23.30% 31%
SMA’s	No
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

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

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers

Compensation Arrangments

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

Reported AUM

152M 130M 108M 87M 65M 43M 22M

2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Firm Description Providence Wealth Management, LLC, (“PWM”) was founded in 2007. Paul W. Cochran is a 50% owner and Bruce E. Landis is 50% owner. Types of Advisory Services ASSET MANAGEMENT CO-ADVISOR PWM has entered into a Co-Advisor relationship with Gradient Investments, LLC (GI). PWM will provide information to each client regarding the services offered by GI as the portfolio manager. PWM will assist the Client to determine the appropriate model selection based on the Client’s investment objectives and risk tolerance. PWM will have full discretion on an ongoing basis to select suitable models to maintain client’s risk tolerance. PWM will share in the management fees charged by GI as described in Item 5 of this brochure. FINANCIAL PLANNING AND CONSULTING If financial planning services are applicable, the Client will compensate PWM on a fixed fee basis described in detail under “Fees and Compensation” section of this brochure. Services include, but are not limited to, a thorough review of all applicable topics including Wills, Estate Plan/Trusts, Investments, Taxes, and Insurance.

A conflict of interest exists between the interests of the investment advisor and the interests of the Client; the Client is under no obligation to act upon the investment advisor’s recommendation. If the Client elects to act on any of the recommendations, the Client is under no obligation to effect the transaction through PWM. Client may cancel at any time during the ninety (90) days with no cost or obligation. Services are completed and delivered inside of ninety (90) days. Client Tailored Services and Client Imposed Restrictions The goals and objectives for each Client are documented in our Client files. Investment strategies are created that reflect the stated goals and objective. Clients may impose restrictions on investing in certain securities or types of securities. Agreements may not be assigned without Client consent. Wrap Fee Programs PWM does not participate in wrap fee programs. Client Assets Under Management PWM has the following assets under management: Discretionary Amounts: Non-discretionary Amounts: Date Calculated: $101,826,000 $0 09/26/2023