9AT: AUSTERRA WEALTH MANAGEMENT LLC

other names

AUSTERRA WEALTH MANAGEMENT LLC

Adviser Profile

As of Date	08/15/2025
ADV Location	DALLAS, TX, United States
Adviser Type - Large advisory firm
Number of Employees	3
of those in investment advisory functions	1
Registration	SEC, Approved, 07/08/2022
Other registrations (1)	Texas, Terminated, 07/29/2022

AUM^*	224,463,375 34%
of that, discretionary	224,463,375 34%
Private Fund GAV^*	220,959,431 11%
Avg Account Size	6,066,578 34%
% High Net Worth	87.50% 1%
SMA’s	No
Private Funds	2
Contact Info	214 xxxxxxx
Websites

Client Types

- High net worth individuals
- Pooled investment vehicles

Advisory Activities

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

Compensation Arrangments

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

Fund Type	Count	GAV
Fund TypeOther Private Fund	Count2	GAV$220,959,431

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 GSI CAPITAL ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund13.5m	Total Private Fund GAV13.5m	AUM192.4m	#Funds1
Adviser DEMARCHE	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund8.3m	Total Private Fund GAV8.3m	AUM185.3m	#Funds1
Adviser RIVERROCK ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund126.0m	Total Private Fund GAV126.0m	AUM126.0m	#Funds4
Adviser VELOCIS MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund214.3m	Total Private Fund GAV214.3m	AUM273.0m	#Funds11
Adviser MATTERHORN CAPITAL ADVISORS, LLC	Hedge Fund331.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV331.4m	AUM331.4m	#Funds2
Adviser BIN YUAN CAPITAL (CAYMAN) LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund17.0m	Total Private Fund GAV17.0m	AUM82.0m	#Funds3
Adviser KALAMATA ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund113.0m	Total Private Fund GAV113.0m	AUM113.0m	#Funds3
Adviser WILSHIRE QUINN CAPITAL, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund180.6m	Total Private Fund GAV180.6m	AUM180.6m	#Funds1
Adviser MAREN CAPITAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund145.7m	Total Private Fund GAV145.7m	AUM1.4b	#Funds1
Adviser SOLPACIFIC, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund133.8m	Total Private Fund GAV133.8m	AUM133.8m	#Funds3

Brochure Summary

Overview

Austerra Wealth Management LLC (“Austerra,” “the Firm,” “Our” or ‘We”) is located in Dallas, Texas and was founded in 2012 by Mark Holland. We feel that putting the client's best interests first is our primary concern. Before doing any investing or advising, we get to know our clients' needs, goals, objectives, and issues and then implement and maintain a plan tailored to these objectives. Investment Management Services Austerra renders discretionary investment management services by investing in securities that the Firm believes are suitable for each client based on their investment objectives, risk tolerance and other individual client needs and circumstances. There is not a limit to the types of investments offered. Investment Management Services are tailored to a client’s specific needs and goals through a dialogue concerning their assets, liabilities, income, expenses, goals, and objectives. A long-term investment plan is established, then reconfirmed or adjusted at least annually. Clients may impose restrictions on investing in certain securities or types/classes of securities. When we provide investment advice to you regarding your retirement plan account or individual retirement account, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts. The way we make money creates some conflicts with your interests, so we operate under a special rule that requires us

to act in your best interest and not put our interest ahead of yours. Under this special rule’s provisions, we must:
• Meet a professional standard of care when making investment recommendations (give prudent advice);
• Never put our financial interests ahead of yours when making recommendations (give loyal advice);
• Avoid misleading statements about conflicts of interest, fees, and investments;
• Follow policies and procedures designed to ensure that we give advice that is in your best interest;
• Charge no more than is reasonable for our services; and
• Give you basic information about conflicts of interest. As of December 31, 2023, Austerra had $201,876,272 in discretionary assets under management. Austerra Stable Growth Fund, LP Austerra Stable Growth Fund, LP (the “ASGF Fund”), is a Texas limited partnership and has been formed for the purpose of making investments in a variety of opportunities, as determined by the General Partner. Austerra Wealth Management LLC (the “General Partner”), a Texas limited liability company, will serve as general partner of the ASGF Fund. Austerra Stable Income Fund, LP Austerra Stable Income Fund, LP (the “ASIF Fund”), is a Texas limited partnership and has been formed for the purpose of acquiring real estate loans (the “Loans”) secured by interests in real property. Austerra Stable Income Management LLC, a Texas limited liability company, will serve as general partner of the ASIF Fund (the “General Partner”).

AUSTERRA WEALTH MANAGEMENT LLC

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