9AT: ROONEY CAPITAL MANAGEMENT, INC.

ROONEY CAPITAL MANAGEMENT, INC.

ROONEY CAPITAL MANAGEMENT, INC.

CHARLES FREDERIC ROONEY

Adviser Profile

As of Date	03/24/2026
Registration	SEC, Approved, 09/19/2006
Contact Info	651 xxxxxxx

AUM^*	411,215,000 35%
of that, discretionary	0
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	411,215,000 35%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Banking or thrift institutions

Advisory Activities

- Portfolio management for businesses

Compensation Arrangments

- Fixed fees (other than subscription fees)

Reported AUM

411M 352M 294M 235M 176M 117M 59M

2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

A. Rooney Capital Management, Inc. has been in business as an Investment Advisor since August 2006. The principal officer is Charles F. Rooney and I am the only employee. Prior to Rooney Capital Management, Inc., I was an officer and part owner of BPS Capital Management, Inc. and BPS Associates, Inc., both Investment Advisory firms located in Bloomington, MN, since October 1985. Rooney Capital Management, Inc moved to The Villages, Florida September 2018. B. Rooney Capital Management, Inc. acts as a non discretionary money manager for institutional and high net worth clients for fixed income investments only. Services include the following: - Liaison between my clients and the dealer community. - Acting as a buying agent/selling agent for clients, primarily financial institutions and banks. - Assistance with the formulation of comprehensive investment strategies tailored to each client’s current and projected circumstances. - Assistance with formulation of comprehensive policies and structures to facilitate implementation. - The fixed income investments that I manage are U.S. Treasuries, Government Agencies, Municipal bonds, and Mortgage backed securities, bank CD’s, CMO’s, commercial paper and corporate bonds. C. I work with every

client on an individual basis to determine what securities best achieve their investment goals. For bank clients I will focus on the asset and liability concerns of the banks. Market timing may be made to take advantage of oversold or overbought conditions in the interest rate market. The high net worth individual’s portfolio is primarily invested in municipal bonds. U.S. Treasuries, U.S. Agencies or commercial paper will be purchased for liquidity or to temporarily invest money until a suitable municipal bond can be found for investment. All clients can exclude an investment whenever they wish. They can also direct me to use specific security dealers to transact the purchases and sales. D. I do not participate in any wrap fee programs. E. All my clients’ assets are managed on a non discretionary basis. As of 12/31/2022 I manage on a non-discretionary basis $203,285,000. All of the securities and funds are held in safekeeping at the client’s custodian account. I have authority to purchase and sell securities on a Deliver Versus Payment (DVP) or Receive Versus Payment (RVP) for the client’s account. I am not allowed to wire funds or deliver securities free for any trade. The custodian account I work with is United Bankers Bank (UBB).

ROONEY CAPITAL MANAGEMENT, INC.

ROONEY CAPITAL MANAGEMENT, INC.

CHARLES FREDERIC ROONEY

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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ROONEY CAPITAL MANAGEMENT, INC. ROONEY CAPITAL MANAGEMENT, INC. CHARLES FREDERIC ROONEY

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

ROONEY CAPITAL MANAGEMENT, INC.

ROONEY CAPITAL MANAGEMENT, INC.

CHARLES FREDERIC ROONEY