9AT: EMBARK WEALTH MANAGEMENT, LLC

EMBARK WEALTH MANAGEMENT, LLC

EMBARK WEALTH MANAGEMENT, LLC

EMBARK WEALTH MANAGEMENT

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 01/03/2024
Other registrations (42)	California, Terminated, 02/07/2024 North Carolina, Terminated, 01/23/2024 Georgia, Terminated, 01/16/2024 Maryland, Terminated, 01/10/2024 Minnesota, Terminated, 01/09/2024 Virginia, Terminated, 01/09/2024 Arizona, Termination Requested, 01/08/2024 California, Termination Requested, 01/08/2024 Florida, Termination Requested, 01/08/2024 Georgia, Termination Requested, 01/08/2024 Illinois, Termination Requested, 01/08/2024 Maryland, Termination Requested, 01/08/2024 Minnesota, Termination Requested, 01/08/2024 Missouri, Terminated, 01/08/2024 New Jersey, Termination Requested, 01/08/2024 New York, Termination Requested, 01/08/2024 North Carolina, Termination Requested, 01/08/2024 Pennsylvania, Terminated, 01/08/2024 Tennessee, Terminated, 01/08/2024 Texas, Termination Requested, 01/08/2024 Virginia, Termination Requested, 01/08/2024 Arizona, Terminated, 01/08/2024 Florida, Terminated, 01/08/2024 Illinois, Terminated, 01/08/2024 New Jersey, Terminated, 01/08/2024 New York, Terminated, 01/08/2024 Texas, Terminated, 01/08/2024 Georgia, Approved, 10/03/2022 Missouri, Approved, 09/08/2022 Tennessee, Approved, 07/06/2022 Illinois, Approved, 01/02/2020 Minnesota, Approved, 08/15/2019 North Carolina, Approved, 05/10/2018 Maryland, Approved, 12/06/2016 Florida, Approved, 09/20/2016 Virginia, Approved, 08/18/2016 Pennsylvania, Approved, 08/15/2016 Arizona, Approved, 08/09/2016 New Jersey, Approved, 07/20/2016 California, Approved, 06/30/2016 Texas, Approved, 11/22/2011 New York, Approved, 07/06/2011
ADV Location	TEMPE, AZ, United States
Contact Info	(88 xxxxxxx
Websites

AUM^*	57,378,134 32%
of that, discretionary	0
Number of Employees	3
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	155,496 44%
% High Net Worth	3.25% 1%
SMA’s	No
Private Funds	0

Adviser Type

- Mid-sized 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

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

57M 49M 41M 33M 25M 16M 8M

2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

5 Services Limited to Specific Types of Investments EWM generally limits its money management to mutual funds, equities, bonds, fixed income, debt securities, ETFs, hedge funds, REITs, insurance products including annuities, private placements, and government securities. EWM may use other securities as well to help diversify a portfolio when applicable. EWM offers the same suite of services to all of its clients. However, specific client financial plans and their implementation are dependent upon the client Investment Policy Statement which outlines each client’s current situation (income, tax levels, risk tolerance levels, time horizon, long term objectives, as well as future and current cash needs) and is used to construct a client specific plan to aid in the selection of a portfolio that matches restrictions, needs, and targets. 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 EWM from properly servicing the client account, or if the restrictions would require EWM to deviate from its standard suite of services, EWM reserves the right to end the relationship. A wrap fee program is an investment program where the investor pays one stated fee that includes management fees, transaction costs, fund expenses, and any other administrative fees. EWM DOES NOT participate in any wrap fee programs. EWM has the following assets under management: Discretionary Amounts: Non-discretionary Amounts: Date Calculated: $0.00 $43,306,543.00 December 2023 D. Wrap Fee Programs E. Amounts Under Management C. Client Tailored Services and Client Imposed Restrictions Investment Supervisory Services Fees

Total Assets Under Management Annual Fee $1 - $100,000 1.50% $100,001 - $200,000 1.40% $200,001 - $300,000 1.30% $300,001 - $400,000 1.20% $400,001 - $500,000 1.10% Above $500,000 1.00% These fees are negotiable depending upon the needs of the client and complexity of the situation, and the final fee schedule is attached as Exhibit II of the Investment Advisory Contract. Fees are paid quarterly in advance, and clients may terminate their contracts with three days’ written notice. Refunds are given on a prorated basis, based on the number of days remaining in a quarter at the point of termination. Fees that are collected in advance will be refunded based on the prorated amount of work completed up to the day of termination within the quarter terminated. The fee refunded will be the balance of the fees collected in advance minus the daily rate* times the number of days in the quarter up to and including the day of termination. (*The daily rate is calculated by dividing the quarterly AUM fee by the number of days in the termination quarter). Clients may terminate their contracts without penalty, for full refund, within 5 business days of signing the advisory contract. Advisory fees are withdrawn directly from the client’s accounts with client written authorization. If fees are withdrawn directly from client accounts: In cases where Advisor fees are directly deducted, Advisor is required to a.) Obtain client authorization, b.) Send a copy of the invoice to the client at the same time that the IA directs invoice to the custodian for payment, c.) Disclose that the custodian will send quarterly invoices to the client wherein Advisor fees are itemized. A. Fee Schedule

EMBARK WEALTH MANAGEMENT, LLC

EMBARK WEALTH MANAGEMENT, LLC

EMBARK WEALTH MANAGEMENT

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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EMBARK WEALTH MANAGEMENT, LLC EMBARK WEALTH MANAGEMENT, LLC EMBARK WEALTH MANAGEMENT

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

EMBARK WEALTH MANAGEMENT, LLC

EMBARK WEALTH MANAGEMENT, LLC

EMBARK WEALTH MANAGEMENT