9AT: EAGLE RIDGE INVESTMENT MANAGEMENT LLC

EAGLE RIDGE INVESTMENT MANAGEMENT LLC

EAGLE RIDGE INVESTMENT MANAGEMENT LLC

Adviser Profile

As of Date	02/06/2025
Registration status	Terminated
ADV Location	STAMFORD, CT, United States
Contact Info	203 xxxxxxx
Websites

AUM^*	1,163,829,238 18%
of that, discretionary	1,082,726,864 18%
Number of Employees	13
of those in investment advisory functions	7
Private Fund GAV^*	0
Avg Account Size	1,266,408 14%
% High Net Worth	59.34% 3%
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
- 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

Reported AUM

1B 928M 773M 619M 464M 309M 155M

2015 2016 2017 2018 2019 2020 2021 2022 2023 2024

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker11135F101	Stock NameBROADCOM INC	$ Position$75,119,657	% Position7.00%	$ Change31.00%	# Change-3.00%
Stck Ticker02079K305	Stock NameALPHABET INC	$ Position$41,067,121	% Position4.00%	$ Change13.00%	# Change-1.00%
Stck Ticker30303M102	Stock NameMETA PLATFORMS INC	$ Position$45,932,088	% Position4.00%	$ Change-1.00%	# Change-3.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$51,119,814	% Position4.00%	$ Change-3.00%	# Change-1.00%
Stck Ticker67103H107	Stock NameOREILLY AUTOMOTIVE INC	$ Position$41,104,571	% Position4.00%	$ Change1.00%	# Change-2.00%
Stck Ticker92206C102	Stock NameVANGUARD SCOTTSDALE FDS	$ Position$51,270,660	% Position4.00%	$ Change2.00%	# Change4.00%
Stck Ticker91324P102	Stock NameUNITEDHEALTH GROUP INC	$ Position$34,201,700	% Position3.00%	$ Change-14.00%	# Change-1.00%
Stck Ticker78464A375	Stock NameSPDR SER TR	$ Position$33,685,306	% Position3.00%	$ Change0.00%	# Change3.00%
Stck Ticker863667101	Stock NameSTRYKER CORPORATION	$ Position$31,169,529	% Position3.00%	$ Change-1.00%	# Change-1.00%
Stck Ticker018802108	Stock NameALLIANT ENERGY CORP	$ Position$31,410,319	% Position3.00%	$ Change-4.00%	# Change-1.00%

Brochure Summary

Overview

Eagle Ridge Investment Management, LLC Page 5 March 2024 Eagle Ridge is compensated through management fees that it charges directly to clients. Our investment advisory fees, also referred to as management fees, are based on the market value of the managed assets of a client’s account on the last day of the quarterly billing cycle (typically a calendar quarter). The fee is calculated within Eagle Ridge’s portfolio accounting system, after the account has been reconciled with the custodian statement. Clients’ fees are generally billed quarterly in arrears; however, a number of clients pay fees in advance of services rendered. Clients have the option to pay these fees to Eagle Ridge or have the custodian debit their account. If the fees are directly debited, Eagle Ridge submits an invoice for investment advisory services to the client’s custodian. These activities are completed in a manner consistent with Rule 206(4)-2 of the Advisor’s Act. Eagle Ridge is also compensated for its assets under advisement, based on the market value of the assets on a periodic basis. Our standard fee schedule for investment advisory services is:  1.0% per annum on the ﬁrst $5 million of assets;  0.8% per annum on the next $5 million of assets;  0.6% per annum on the next $15 million of assets; and  0.4% per annum on any assets over $25 million. The fee

for assets managed for any period of less than a full quarter are pro-rated accordingly. If a client who pays fees in advance terminates the contract before the end of the quarter, Eagle Ridge will issue a refund based on the number of days remaining in that quarter. When a client has multiple accounts within a relationship with Eagle Ridge, the assets in these accounts will be combined for purposes of calculating the management fee, and the fee will be allocated across these accounts on a pro-rated basis, or as directed by client. Fee schedules and minimums may be negotiable depending on client circumstances. Other fees and expenses that clients may incur include brokerage commissions, custodian fees, transaction costs, mutual fund and exchange traded fund expenses. Prior to engaging Eagle Ridge, a client is required to enter into an investment management agreement setting forth the terms and conditions under which the ﬁrm shall manage the client's assets. Clients must also have a relationship with a qualiﬁed custodian. Both Eagle Ridge’s Investment Management Agreement and the custodian’s custodial/clearing agreement may authorize the custodian to debit the account for the amount of Eagle Ridge’s investment management fee and to directly remit that management fee to us in accordance with required SEC procedures. The Investment Management Agreement between Eagle