9AT: TUBLIN - DIFUSCO ADVISORS INC.

TUBLIN - DIFUSCO ADVISORS INC.

TUBLIN - DIFUSCO ADVISORS INC.

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 06/15/2007
Contact Info	(51 xxxxxxx

AUM^*	131,853,567 22%
of that, discretionary	131,853,567 22%
Number of Employees	3
of those in investment advisory functions	2 100%
Private Fund GAV^*	0
Avg Account Size	1,014,258 34%
% High Net Worth	25.38% 4%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

132M 113M 94M 75M 57M 38M 19M

2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

A.Tublin-Difusco Advisors Inc. (“TDAI”) is an SEC registered investment advisor that has been in business since December 1997. Its principal owner is Vincent T. DiFusco.
B.TDAI provides investment advisory services on a discretionary basis to individuals and small business clients. These services are personalized and are designed to accommodate each client’s particular stated investment objectives. Prior to accepting a client, TDAI discusses specific investment goals and objectives with a prospective client and a written record of these discussions is prepared and kept in the client’s file and is reviewed with the client periodically to keep the client’s investment goals and objectives current. Clients are expected to advise TDAI of any changes to their circumstances which would affect the client’s investment objectives and goals.
C. TDAI monitors each client’s

portfolio in an effort to meet the client’s goals and objectives.
TDAI considers factors including asset allocation, income requirements, tax implications, economic outlook and market trends and outlook in evaluating each client’s portfolio on an on- going basis, consistent with the goals and objectives of the client.
TDAI monitors each client’s portfolio on a monthly basis, using an investment strategy consistent with the client’s stated goals and objectives. On a quarterly basis, TDAI provides each client with a summary of the client’s portfolio showing securities holdings and market values. D. TDAI does not offer or participate in wrap fee programs.
E. As of January 1, 2024, TDAI had client assets that it manages on a discretionary basis of approximately $108.2 million. TDAI does not manage any client assets on a non-discretionary basis.