9AT: BARDEN CAPITAL MANAGEMENT, INC.

BARDEN CAPITAL MANAGEMENT, INC.

BARDEN CAPITAL MANAGEMENT, INC.

Adviser Profile

As of Date	02/17/2026
Registration	SEC, Approved, 07/22/2022
Other registrations (6)	California, Terminated, 10/19/2022 Colorado, Terminated, 09/27/2022 Arizona, Terminated, 09/19/2022 Kansas, Terminated, 09/19/2022 Texas, Terminated, 09/19/2022 Nebraska, Terminated, 12/31/2012
Contact Info	512 xxxxxxx
Websites

AUM^*	183,500,000 17%
of that, discretionary	183,500,000 17%
Number of Employees	3
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	903,941 91%
% High Net Worth	19.27% 10%
SMA’s	No
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

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

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Publication of periodicals or newsletters

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

184M 157M 131M 105M 79M 52M 26M

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 Ticker808524805	Stock NameSCHWAB STRATEGIC TR	$ Position$9,836,738	% Position9.00%	$ Change3.00%	# Change-8.00%
Stck Ticker808524201	Stock NameSCHWAB STRATEGIC TR	$ Position$8,327,170	% Position8.00%	$ Change15.00%	# Change0.00%
Stck Ticker78463X475	Stock NameSPDR INDEX SHS FDS	$ Position$6,638,961	% Position6.00%	$ Change14.00%	# Change1.00%
Stck Ticker78464A649	Stock NameSPDR SERIES TRUST	$ Position$5,269,165	% Position5.00%	$ Change5.00%	# Change5.00%
Stck Ticker67066G104	Stock NameNVIDIA CORPORATION	$ Position$4,314,741	% Position4.00%	$ Change-20.00%	# Change-30.00%
Stck Ticker808524300	Stock NameSCHWAB STRATEGIC TR	$ Position$4,865,118	% Position4.00%	$ Change17.00%	# Change1.00%
Stck Ticker808524409	Stock NameSCHWAB STRATEGIC TR	$ Position$4,462,700	% Position4.00%	$ Change16.00%	# Change1.00%
Stck Ticker78464A201	Stock NameSPDR SERIES TRUST	$ Position$2,821,722	% Position3.00%	$ Change24.00%	# Change1.00%
Stck Ticker921937835	Stock NameVANGUARD BD INDEX FDS	$ Position$3,198,914	% Position3.00%	$ Change3.00%	# Change3.00%
Stck Ticker464288281	Stock NameISHARES TR	$ Position$1,660,504	% Position2.00%	$ Change2.00%	# Change0.00%

Brochure Summary

Overview

Barden Capital was founded by brothers Eric and Ryan Barden in 2006. They are the firm’s principal owners. BCM provides investment advice and investment management services to clients for a fee. Before we start investing, we get to know our clients’ financial goals and their current financial situation. We take that information, combine it with our investment strategies, and then we will buy and sell securities in clients' accounts. While we like to keep all options open in an effort to maximize client returns, we are able to accommodate any restrictions that our clients request if there are certain companies, industries, or types of securities in which they would rather not invest. At the end of each quarter, we will send a complimentary newsletter to our clients that explains our current thinking about the markets and the economy, and we will often discuss securities purchased for client portfolios.

Additionally, Portfolio Manager Eric Barden is always happy to discuss his current views. Every client will have an Investment Advisor Representative with whom they can discuss any changes to their financial situation. As of December 31, 2023, we managed $132,300,000 in client assets. All material conflicts of interest under CCR Section 260.238 (k) are disclosed below regarding our firm, our representatives, or our employees, which could be reasonably expected to impair the rendering of unbiased and objective advice. We offer goal based financial planning, which is a process of setting financial goals, prioritizing those goals, taking inventory, forecasting, and calculating the probability of successfully achieving those goals. We can help with budgeting, current needs analysis, and education planning. There is no charge for these services beyond the asset-based fee described in Item 5.