9AT: SAFE HARBOR WEALTH ADVISORS, LLC

SAFE HARBOR WEALTH ADVISORS, LLC

SAFE HARBOR WEALTH ADVISORS, LLC

Adviser Profile

As of Date	04/10/2026
Registration	SEC, Approved, 04/09/2024
Other registrations (17)	North Carolina, Terminated, 04/29/2024 Ohio, Terminated, 04/15/2024 Florida, Termination Requested, 04/11/2024 North Carolina, Termination Requested, 04/11/2024 Ohio, Termination Requested, 04/11/2024 South Carolina, Termination Requested, 04/11/2024 Tennessee, Terminated, 04/11/2024 Texas, Termination Requested, 04/11/2024 Florida, Terminated, 04/11/2024 South Carolina, Terminated, 04/11/2024 Texas, Terminated, 04/11/2024 Florida, Approved, 10/18/2021 Tennessee, Approved, 10/04/2021 Texas, Conditional Restricted, 08/26/2021 South Carolina, Approved, 01/05/2021 North Carolina, Approved, 06/11/2020 Ohio, Approved, 08/01/2016
ADV Location	DUBLIN, OH, United States
Contact Info	614 xxxxxxx
Websites

AUM^*	167,200,727 32%
of that, discretionary	161,077,849 27%
Number of Employees	3
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	154,102 12%
% High Net Worth	7.96% 19%
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
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Reported AUM

161M 138M 115M 92M 69M 46M 23M

2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Firm Description Safe Harbor Wealth Advisors, LLC (“Safe Harbor”) was founded in 2016. Cory Sickles is 100% owner. Types of Advisory Services CO-ADVISOR Safe Harbor has entered into a Co-Advisor relationship with Gradient Investments, LLC (GI). Safe Harbor will provide information to each client regarding the services offered by GI as the portfolio manager. Safe Harbor will assist the Client to determine the appropriate model selection based on the Client’s investment objectives and risk tolerance. Safe Harbor will have full discretion on an ongoing basis to select suitable models to maintain client’s risk tolerance. Safe Harbor will share in the management fees charged by GI as described in Item 5 of this brochure. FINANCIAL PLANNING AND CONSULTING If financial planning services are applicable, the client will compensate Safe Harbor on a fixed fee basis described in detail under “Fees and Compensation” section of this brochure. Services include but are not limited to a thorough review of all applicable topics including Wills, Estate Plan/Trusts, Investments, Taxes, and Insurance. A conflict of interest exists between the interests of the investment advisor and the interests of the

client. The client is under no obligation to act upon the investment advisor’s recommendation. If the client elects to act on any of the recommendations, the client is under no obligation to effect the transaction through Safe Harbor. Financial plans will be completed and delivered inside of thirty (30) days. REFERRAL ARRANGEMENTS Safe Harbor has legacy clients where Safe Harbor acted as a referring party for Gradient Investments, LLC. Any new clients placed with Gradient Investments, LLC will be through the Co-Advisor relationship described above. Client Tailored Services and Client Imposed Restrictions The goals and objectives for each client are documented in our client files. Investment strategies are created that reflect the stated goals and objectives. Clients may impose restrictions on investing in certain securities or types of securities. Agreements may not be assigned without written client consent. Wrap Fee Programs Safe Harbor does not participate in wrap fee programs. Client Assets under Management Safe Harbor has the following assets under management: Discretionary Amounts: Non-discretionary Amounts: Date Calculated: $100,939,000 $668,000 December 31, 2023