9AT: GOODMAN FINANCIAL CORPORATION

GOODMAN FINANCIAL CORPORATION

other names

GOODMAN FINANCIAL CORPORATION

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Adviser Profile

As of Date	04/11/2025
Adviser Type - Large advisory firm
Number of Employees	26 13.04%
of those in investment advisory functions	17 30.77%
Registration	SEC, Approved, 06/21/2002
Other registrations (1)	Texas, Cancelled, 03/09/1998

AUM^*	864,940,094 49.10%
of that, discretionary	861,923,011 48.58%
Private Fund GAV^*	0 -100.00%
Avg Account Size	935,070 19.12%
% High Net Worth	72.66% 4.17%
SMA’s	Yes
Private Funds	0 1
Contact Info	713 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges

Reported AUM

593M 508M 424M 339M 254M 169M 85M

2015 2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker78463X889	Stock NameSPDR PORTFOLIO DEVELOPED WORLD EX-US ETF	$ Position$33,316,593	% Position7.00%	$ Change12.00%	# Change1.00%
Stck Ticker46137V357	Stock NameINVESCO S&P 500 EQUAL WEIGHT ETF	$ Position$30,023,841	% Position6.00%	$ Change10.00%	# Change5.00%
Stck Ticker92206C409	Stock NameVANGUARD SHORT-TERM CORPORATE BOND ETF	$ Position$26,615,532	% Position5.00%	$ Change6.00%	# Change5.00%
Stck Ticker65290E101	Stock NameNEXTRACKER INC CLASS A COM	$ Position$18,519,926	% Position4.00%	$ Change27.00%	# Change-2.00%
Stck Ticker808513105	Stock NameSCHWAB CHARLES CORP COM	$ Position$18,464,927	% Position4.00%	$ Change15.00%	# Change-1.00%
Stck Ticker023135106	Stock NameAMAZON.COM	$ Position$17,616,757	% Position4.00%	$ Change17.00%	# Change1.00%
Stck Ticker57060D108	Stock NameMARKETAXESS HLDGS INC COM	$ Position$16,399,552	% Position3.00%	$ Change4.00%	# Change1.00%
Stck Ticker008252108	Stock NameAFFILIATED MANAGERS GROUP INC COM	$ Position$16,185,609	% Position3.00%	$ Change19.00%	# Change2.00%
Stck Ticker67077M108	Stock NameNUTRIEN LTD COM	$ Position$15,633,177	% Position3.00%	$ Change18.00%	# Change1.00%
Stck Ticker464286608	Stock NameISHARES MSCI EUROZONE	$ Position$15,604,656	% Position3.00%	$ Change17.00%	# Change5.00%

Brochure Summary

Overview

Goodman Financial Corporation (“Goodman Financial,” “the Firm,” “our,” or “we”) is an independent investment management firm that provides investment advice and portfolio management services on a continuing basis, including the appropriate allocation of managed assets among cash, bonds, stocks, exchange-traded funds, and mutual funds and the selection of specific securities that will provide diversification and help meet the client's stated investment objectives. Goodman Financial Corporation is a corporation controlled by Steve Goodman and has provided investment advice and portfolio management services since 1989. The primary shareholder of the Firm is Steve Goodman. Though Goodman Financial provides investment advice regarding all types of securities, our focus is on building client investment portfolios through the purchase of individual bonds and equities in order to provide better tax efficiency and avoid the layering of fees. Clients can impose investment guidelines or restrictions on investing in certain securities

or types of securities, thus limiting the scope of potential investments. When selecting securities and determining amounts to invest, we observe the investment guidelines and restrictions of the client. In addition to investment advisory services, we also provide targeted financial advisory services on an as-needed basis. The financial advisory services include, but are not limited to, cash flow planning, retirement needs analysis, tax-efficient distribution strategies, gift and estate planning, employee benefits planning, annuity and insurance (life, disability, and long-term care) reviews, and education planning. In very limited circumstances, these services may also be offered separately from our investment advisory services at the discretion of Goodman Financial. In such cases, a separate agreement is executed which documents the corresponding provisions and fees. As of December 31, 2023, we have $698,591,022 in assets under management. All of these assets are managed on a discretionary basis. Page 4 of 26 Item 5 - Fees and Compensation