9AT: ESTABROOK CAPITAL MANAGEMENT LLC

Adviser Profile

As of Date	03/27/2026
Registration	SEC, Approved, 10/22/2003
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	933,319,315 8%
of that, discretionary	933,319,315 8%
Number of Employees	10 -9%
of those in investment advisory functions	5
Private Fund GAV^*	0
Avg Account Size	1,216,844 12%
% High Net Worth	19.43% 1%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- State or municipal government entities
- Corporations or other businesses not listed above

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
- Fixed fees (other than subscription fees)

Accounting Firm Name	Filing Date	Form ADV-E
Accounting Firm Name BAKER TILLY US, LLP	Filing Date01/14/2026	Form ADV-E View Report
Accounting Firm Name BAKER TILLY	Filing Date07/17/2024	Form ADV-E View Report
Accounting Firm Name BAKER TILLY US, LLP	Filing Date10/18/2023	Form ADV-E View Report

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 CONNECTUS WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM8.7b	#Funds-
Adviser OAKWELL PRIVATE WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM668.1m	#Funds-
Adviser GREY LEDGE ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM616.0m	#Funds-
Adviser NORTH STAR INVESTMENT MANAGEMENT CORPORATION	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.5b	#Funds-
Adviser FIRETHORN PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund3.6m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV3.6m	AUM30.4m	#Funds1
Adviser WARREN CAPITAL GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM131.0m	#Funds-
Adviser WELLFULL	Hedge Fund-	Liquidity Fund-	Private Equity Fund14.8m	Real Estate Fund48.6m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund13.1m	Total Private Fund GAV76.5m	AUM866.4m	#Funds10
Adviser TRADITION WEALTH MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.6b	#Funds-
Adviser FUTURE FINANCIAL WEALTH MANAGEMENT GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM193.4m	#Funds-
Adviser MILESTONE WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM221.5m	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker594918104	Stock NameMICROSOFT CORPORATION	$ Position$57,552,510	% Position8.00%	$ Change3.00%	# Change2.00%
Stck Ticker46625H100	Stock NameJ.P. MORGAN CHASE & CO	$ Position$52,705,367	% Position7.00%	$ Change10.00%	# Change-1.00%
Stck Ticker037833100	Stock NameAPPLE COMPUTER INC	$ Position$51,301,792	% Position7.00%	$ Change13.00%	# Change-1.00%
Stck Ticker22160K105	Stock NameCOSTCO WHOLESALE CORP	$ Position$30,340,099	% Position4.00%	$ Change-8.00%	# Change-2.00%
Stck Ticker02079K305	Stock NameALPHABET CLASS A	$ Position$23,994,894	% Position3.00%	$ Change21.00%	# Change-3.00%
Stck Ticker172967424	Stock NameCITIGROUP INC	$ Position$18,921,612	% Position3.00%	$ Change22.00%	# Change-1.00%
Stck Ticker219350105	Stock NameCORNING INC	$ Position$19,457,380	% Position3.00%	$ Change81.00%	# Change-3.00%
Stck Ticker17275R102	Stock NameCISCO SYS INC	$ Position$20,403,037	% Position3.00%	$ Change49.00%	# Change-2.00%
Stck Ticker478160104	Stock NameJOHNSON & JOHNSON	$ Position$22,786,188	% Position3.00%	$ Change4.00%	# Change0.00%
Stck Ticker459200101	Stock NameINTERNATIONAL BUSINESS MACHINE	$ Position$18,733,929	% Position3.00%	$ Change16.00%	# Change0.00%

Brochure Summary

Overview

Estabrook Capital Management LLC (the “Registrant” “Estabrook”, “us,” or “we”) provides investment advisory and other services. Registrant is primarily owned by Charles Thomas Foley and David Patrick Foley. We manage investment advisory accounts for individual and institutional clients (“Clients”). We provide advice to Clients regarding equity securities, debt instruments, and other investments and instruments. We generally permit Clients to impose restrictions on their accounts with respect to: (1) the specific types of investments or asset classes that we will or will not purchase for their account; (2) the nature of the issuers of investments that we will or will not purchase for their account (e.g., no “sin” issuers, such as companies primarily doing business related to alcohol or tobacco); or (3) the risk profile of instruments we will or will not purchase for their account, or the risk profile of the account as a whole. We are also a portfolio manager in various wrap programs sponsored by non-affiliated organizations. The advisory services provided by us to clients in the wrap programs are the same services otherwise provided to our other clients, however, wrap programs may prescribe different terms on matters, including without limitation, reports which, are provided by the sponsoring organization

to the client in lieu of reports from us to the client. Also, as a portfolio manager in a wrap program, we will generally utilize the execution services of the wrap program sponsor or one of the sponsor’s affiliates to handle trades for the accounts of clients in the wrap program where consistent with applicable law. However, we may direct trades to other brokers when deemed appropriate, although this will typically result in commission charges payable by the client in addition to the wrap program fee. Registrant also provides model investment portfolios to one sponsor program on a non-discretionary basis. As of March 19, 2024, the Registrant had approximately $863.7 million in assets under management to which it provides advice on a discretionary basis. In addition, we have approximately $93.6 million in assets under advisement, to which we provide our model portfolios to one sponsor program. Throughout this brochure, we disclose a number of conflicts of interest and provide summaries of a number of our policies and procedures designed to detect and address these conflicts and others. We encourage clients and prospective clients to review our policies and procedures and inquire directly with us about our conflicts. Our compliance policies and procedures are available for review in our offices.

ESTABROOK CAPITAL MANAGEMENT LLC

ESTABROOK CAPITAL MANAGEMENT LLC

GROVE CREEK ASSET MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

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Top Holdings

Brochure Summary

Overview

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ESTABROOK CAPITAL MANAGEMENT LLC ESTABROOK CAPITAL MANAGEMENT LLC GROVE CREEK ASSET MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Top Holdings

Brochure Summary

Overview

ESTABROOK CAPITAL MANAGEMENT LLC

ESTABROOK CAPITAL MANAGEMENT LLC

GROVE CREEK ASSET MANAGEMENT LLC