9AT: MONK, STAN

MONK, STAN

MONK, STAN

MONK, STANLEY EARL

Adviser Profile

As of Date	03/07/2026
Registration	SEC, Approved, 06/23/2008
Contact Info	212 xxxxxxx

AUM^*	76,219,855 10%
of that, discretionary	0
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	1,621,699 10%
% High Net Worth	4.26%
SMA’s	Yes
Private Funds	0

Adviser Type

- Mid-sized advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals

Advisory Activities

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

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

86M 74M 62M 49M 37M 25M 12M

2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

I provide investment management services on a fee-only basis. As an ancillary service, I provide financial planning advice with respect to important client issues. I do not generally charge separately for financial planning services. Rather, I attempt to serve as a sort of financial counselor to clients over time and encourage them to call and discuss individual questions about the markets or any other financial matters that come up. Typically, I meet with clients to gather information, address significant planning issues and develop an investment approach. I make investment recommendations and, after receiving client approval, implement the recommendations or help the client do so. I advise the client only; I do not assume discretionary management of client assets, although I may obtain permission to place orders on a client’s behalf. I do not place any such orders without the prior approval of the client. Quarterly, I furnish clients with memos detailing their assets under management and the performance of their portfolio. On an ongoing basis, I review accounts to determine whether current investments are still appropriate. (Specific

reviews may be prompted by changes either in the individual circumstances of the client, or in market conditions.) Recommendations for changes in the portfolio are generally made in the quarterly memos, although they may come at any time. Generally, separately, I send out a quarterly memo with thoughts about current market conditions. Typically, I recommend only no-load mutual funds. However, recommendations involving insurance products or annuities, or of limited partnership interests, may sometimes be appropriate. Recommendations about specific stocks or derivative instruments such as options are made only under unusual circumstances. I base recommendations primarily on information from the financial media, materials prepared by fund companies, regulatory filings and rating services. With respect to mutual funds in particular, I use the Morningstar Mutual Funds Information service. As of December 31, 2023, I managed approximately $69.3 million on a non-discretionary basis. I do not manage assets on a discretionary basis. See the Brochure Supplement below for biographical and other information about me.

MONK, STAN

MONK, STAN

MONK, STANLEY EARL

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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MONK, STAN MONK, STAN MONK, STANLEY EARL

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

MONK, STAN

MONK, STAN

MONK, STANLEY EARL