9AT: HALTER FERGUSON FINANCIAL INC

Adviser Profile

As of Date	07/27/2026
Registration	SEC, Approved, 02/18/2000
ADV Location	CARMEL, IN, United States
Contact Info	317 xxxxxxx
Websites

AUM^*	704,950,608 86%
of that, discretionary	704,950,608 86%
Number of Employees	15 67%
of those in investment advisory functions	7 -13%
Private Fund GAV^*	3,834,000
Avg Account Size	655,159 52%
% High Net Worth	65.54% 36%
SMA’s	Yes
Private Funds	1 1

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pooled investment vehicles
- Charitable organizations

Advisory Activities

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

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees

	Count	GAV
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Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser THOR WEALTH MANAGEMENT INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM678.7m	#Funds-
Adviser KWB WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.2b	#Funds-
Adviser B&C FINANCIAL ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM626.0m	#Funds-
Adviser THE JOSEPH GROUP CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.1b	#Funds-
Adviser ACT ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM498.9m	#Funds-
Adviser PLATT INVESTMENT COUNSEL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM153.6m	#Funds-
Adviser BEAR MOUNTAIN CAPITAL INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund13.5m	Total Private Fund GAV13.5m	AUM375.0m	#Funds1
Adviser PEB CAPITAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM171.0m	#Funds-
Adviser STONE ISLAND FINANCIAL PLANNING	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM134.0m	#Funds-
Adviser CTB FINANCIAL SERVICES, LTD.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM218.3m	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker88160R101	Stock NameTESLA INC	$ Position$264,638,845	% Position43.00%	$ Change23.00%	# Change8.00%
Stck Ticker52567D107	Stock NameLEMONADE INC	$ Position$65,428,279	% Position11.00%	$ Change91.00%	# Change84.00%
Stck Ticker91680M107	Stock NameUPSTART HLDGS INC	$ Position$61,935,857	% Position10.00%	$ Change65.00%	# Change19.00%
Stck Ticker46090E103	Stock NameINVESCO QQQ TR	$ Position$46,748,298	% Position8.00%	$ Change11.00%	# Change-13.00%
Stck Ticker91532F102	Stock NameUNUSUAL MACHS INC	$ Position$34,171,361	% Position6.00%	$ Change	# Change
Stck Ticker78462F103	Stock NameSTATE STR SPDR S&P 500 ETF T	$ Position$27,182,720	% Position4.00%	$ Change61.00%	# Change41.00%
Stck Ticker687793109	Stock NameOSCAR HEALTH INC	$ Position$17,882,240	% Position3.00%	$ Change284.00%	# Change55.00%
Stck Ticker595112103	Stock NameMICRON TECHNOLOGY INC	$ Position$20,938,919	% Position3.00%	$ Change-4.00%	# Change-72.00%
Stck Ticker023135106	Stock NameAMAZON COM INC	$ Position$9,622,066	% Position2.00%	$ Change22.00%	# Change6.00%
Stck Ticker532457108	Stock NameELI LILLY & CO	$ Position$9,939,677	% Position2.00%	$ Change41.00%	# Change8.00%

Brochure Summary

Overview

Halter Ferguson Financial, Inc. (“Halter Ferguson Financial”) was founded in Indianapolis, Indiana in 1986. The principal and sole shareholder is Bradford S. Ferguson, CFA. Halter Ferguson Financial is a fee only financial planning and investment advisory firm that provides these services to individuals as well as businesses. These services are tailored to the individual needs of clients. Halter Ferguson Financial provides discretionary portfolio management services. The portfolio management clients give discretion to Halter Ferguson Financial to act in buying and selling securities, selection of the custodian, selection and retention of separate account managers, and transaction rates in managing the client’s account. After developing an investment management policy with the client, Halter Ferguson Financial receives written authority by the client to buy and sell securities on behalf of the client within the stated parameters of that policy. Clients may impose in writing restrictions on investing in certain securities, types of securities or the sale of securities presently owned by the client. For limited, specific clients, we manage concentrated investments with the selective use of options strategies. We have deemed these clients “REBELLIONAIRES” since they tend to have a more non- diversified approach of investing in a single asset, small number of assets, or a single asset class. As a result of

this non-diversified approach, these clients typically have a higher risk tolerance and are in a position to incur significant short-term losses or illiquidity. Financial planning services are described in the Halter Ferguson Financial, Inc. Financial Planning Engagement Agreement. This Agreement is provided to you before your first planning meeting and is also available on request. Halter Ferguson Financial is a fiduciary and is required to act in a client’s best interest at all times. Halter Ferguson Financial uses a third-party platform to facilitate management of held away assets, which are primarily 401(k) accounts, HSAs, and other assets. The platform allows Halter Ferguson Financial to avoid being considered to have custody of client funds since Halter Ferguson Financial does not have direct access to client log-in credentials. Halter Ferguson Financial is not affiliated with the platform in any way and receives no compensation from them for using their platform. A link will be provided to the client allowing them to connect an account(s) to the platform. Once client account(s) is connected to the platform, Halter Ferguson Financial regularly reviews the available investment options in these accounts, monitor them, and rebalance and implement Halter Ferguson Financial’s strategies. As of December 31, 2023, Halter Ferguson Financial had $378,241,750 of assets under discretionary management.

HALTER FERGUSON FINANCIAL INC

HALTER FERGUSON FINANCIAL INC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Top Holdings

Brochure Summary

Overview

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HALTER FERGUSON FINANCIAL INC HALTER FERGUSON FINANCIAL INC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Top Holdings

Brochure Summary

Overview

HALTER FERGUSON FINANCIAL INC

HALTER FERGUSON FINANCIAL INC