9AT: WILLIAMS CAPITAL MANAGEMENT COMPANY

WILLIAMS CAPITAL MANAGEMENT COMPANY

WILLIAMS CAPITAL MANAGEMENT COMPANY

Adviser Profile

As of Date	03/18/2026
Registration	SEC, Approved, 08/12/2022
Other registrations (1)	Illinois, Terminated, 10/18/2022
ADV Location	WILMETTE, IL, United States
Contact Info	847 xxxxxxx

AUM^*	225,556,373 89%
of that, discretionary	88,432,948 82%
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	10,252,562 140%
% High Net Worth	100.00%
SMA’s	No
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- High net worth individuals

Advisory Activities

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

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

137M 118M 98M 78M 59M 39M 20M

2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

William Capital Management Company (the “Adviser”) is a Registered Investment Adviser with the SEC. Registration does not imply a certain level of skill or training. The Adviser was founded in 1995 by its sole owner, David H. Williams (the “Principal”). The Adviser manages investment advisory accounts not involving investment supervisory services. Approximately 100% of the Adviser’s billings relate to investment advisory services. The Adviser generally offers investment advisory services in return for a fee equal to percentage of assets under management. The Adviser provides a complete portfolio management service, which includes the purchase, sale and continuous supervision of all publicly traded assets under management. The Adviser will suggest investments and portfolios to clients. Clients may impose restrictions on types of Securities/Maturities, etc. The Adviser coordinates the transfer of funds and securities and performs and presents the accounting necessary to reconcile clients’ accounting records with those of custodian banks and brokerage firms which hold the clients’

securities and funds. The Adviser offers advice on: equity securities, including exchange-listed securities, securities traded over-the counter, and securities of foreign issuers; warrants; corporate debt securities; commercial paper; certificates of deposit; municipal securities; investment company securities, United States government securities; interests in partnerships investing in real estate or oil and gas interests; and oversight of other investment managers. See “Item 5: Fees and Compensation” for a description of the fees payable for the Adviser’s investment advisory services, minimum account size and other relevant information. Fees do not vary based on type of client (i.e., individual, small business, institutional clients). Clients may impose restrictions on investments in certain securities or types of securities specified by the clients. The Adviser does not participate in wrap-fee programs. Applicant had $48,714,369 (in U.S. dollars) in discretionary and $70,856,017 (in U.S. dollars) in non-discretionary assets of clients under management as of December 31, 2023.