9AT: MOSLEY WEALTH MANAGEMENT, INC.

MOSLEY WEALTH MANAGEMENT, INC.

MOSLEY WEALTH MANAGEMENT, INC.

Adviser Profile

As of Date	07/10/2026
Registration	SEC, Approved, 11/20/2023
Other registrations (12)	California, Terminated, 12/27/2023 Louisiana, Terminated, 11/28/2023 Arizona, Termination Requested, 11/27/2023 California, Termination Requested, 11/27/2023 Louisiana, Termination Requested, 11/27/2023 Texas, Termination Requested, 11/27/2023 Arizona, Terminated, 11/27/2023 Texas, Terminated, 11/27/2023 Arizona, Approved, 07/26/2023 Texas, Approved, 05/12/2022 California, Approved, 04/29/2022 Louisiana, Approved, 04/29/2022
ADV Location	ANAHEIM, CA, United States
Contact Info	(71 xxxxxxx
Websites

AUM^*	279,450,769 120%
of that, discretionary	277,574,351 119%
Number of Employees	15 25%
of those in investment advisory functions	10 100%
Private Fund GAV^*	0
Avg Account Size	200,611 -33%
% High Net Worth	11.74% 17%
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

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

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

278M 238M 198M 159M 119M 79M 40M

2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Mosley Wealth Management, Inc. (“MWM”) is an Investment Advisory Firm owned by Felton Thomas (Tom) Mosley and has been offering its services since 2019. MWM provides Asset Management services to its clients as described below. Asset Management Services MWM provides Clients with continuous and ongoing monitoring of and supervision over their Account(s). MWM bases our advice on a client’s individual goals, objectives, time horizon and risk tolerance. MWM creates an investment policy statement for each client, which outlines the client’s current situation (income, tax levels, objectives, and risk tolerance levels). MWM evaluates the current investments of each client with respect to their risk tolerance levels and time horizon. MWM will request discretionary authority from clients in order to select securities and execute transactions without permission from the client. Risk tolerance levels are documented by an evaluation that is given to each client. All reasonable restrictions, including special instructions and limitations, regarding the investments

and management of Client's Account are noted by the client in the Asset Management Agreement. MWM has entered into a Sub-Advisory Relationship with Foundations Investment Advisors, LLC. The purpose of this agreement is to provide MWM with administrative, technical and support services with respect to client accounts. Although the agreement provides MWM with the ability to outsource advisory services, MWM does not utilize Foundations Investment Advisors, LLC for those services. MWM’s client accounts are managed by MWM and/or its advisory representatives. Clients may impose restrictions in investing in certain securities or types of securities in accordance with their values or beliefs. However, if the restrictions prevent MWM from properly servicing the client account, or if the restrictions would require MWM to deviate from its standard suite of services, MWM reserves the right to end the relationship. MWM does not offer a wrap program. As of September 28, 2023, MWM manages approximately $106,900,000 in discretionary assets.