9AT: LINCOLN PARK CAPITAL LLC

LINCOLN PARK CAPITAL LLC

LINCOLN PARK CAPITAL LLC

Adviser Profile

As of Date	04/01/2026
Registration	SEC, Approved, 04/19/2024
Other registrations (1)	SEC, 120-Day Approval, 04/19/2024
ADV Location	OLEAN, NY, United States
Contact Info	866 xxxxxxx

AUM^*	45,092,229
of that, discretionary	45,092,229 100%
Number of Employees	3 50%
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	693,727
SMA’s	No
Private Funds	0

Adviser Type

- Mid-sized advisory firm

Client Types

- Individuals (other than high net worth individuals)

Advisory Activities

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

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges

Reported AUM

45M 39M 32M 26M 19M 13M 6M

2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Lincoln Park is registered with the SEC as an investment adviser and has been in business since January 2024. The principal owner of Lincoln Park is Dana Cornell, who also serves as our Chief Executive Officer and Chief Compliance Officer. Currently Lincoln Park has no assets under management. Lincoln Park offers the following types of advisory programs and services: Lincoln Park offers ongoing portfolio management services based on the client goals, objectives, time horizon, and risk tolerance of each client. Lincoln Park creates an Investment Policy Statement for each client, which outlines the client’s current situation and then constructs a plan to aid in the selection of a portfolio that matches each client’s specific situation. Services include, but are not limited to, the following:

• Investment strategy • Personal investment policy
• Asset allocation • Asset selection
• Risk tolerance • Regular portfolio monitoring Lincoln Park evaluates the current investments of each client with respect to their risk tolerance levels and time horizon. Lincoln Park will request discretionary authority from clients in order to select securities and execute transactions without permission from the client prior to each transaction. Risk tolerance levels are documented in the Investment Policy Statement, which is given to each client. Lincoln Park provides model portfolio management that is discretionary. The models are designed to be allocated based on client goals, risk tolerance, expected return, allocation, and time frame before assets are traded.