9AT: LYONS WEALTH MANAGEMENT

Adviser Profile

As of Date	04/01/2026
Registration	SEC, Approved, 07/28/2009
Other registrations (1)	Ohio, Terminated, 01/27/2021
ADV Location	WINTER PARK, FL, United States
Contact Info	407 xxxxxxx
Websites

AUM^*	109,121,693 -32%
of that, discretionary	109,121,693 -32%
Number of Employees	4 -43%
of those in investment advisory functions	3 -25%
Private Fund GAV^*	4,758,601 -59%
Avg Account Size	974,301 -15%
SMA’s	Yes
Private Funds	1 1

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- Investment companies
- Pooled investment vehicles
- Pension and profit sharing plans

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

	Count	GAV
{{ TypeColumnLabel }} {{ item.FundType }}	Count{{ formatCount(item.FundsCount) }}	GAV{{ formatGAV(item.AUM) }}

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 ADVISOR SHARE 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-	AUM376.9m	#Funds-
Adviser GLOBAL STRATEGIC NEXTGEN OCIO	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.6b	#Funds-
Adviser SPORTS & ENTERTAINMENT INVESTMENT ADVISERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM18.9m	#Funds-
Adviser CENTER STREET ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM336.0m	#Funds-
Adviser 4THOUGHT FINANCIAL GROUP INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM214.3m	#Funds-
Adviser PLAN FINANCIAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM195.4m	#Funds-
Adviser CAMBRIDGE FINANCIAL GROUP, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM331.3m	#Funds-
Adviser MORRIS & WELLS WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM987.9m	#Funds-
Adviser CHARLES FISH INVESTMENTS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM331.3m	#Funds-
Adviser CANNELL & CO.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.6b	#Funds-

Brochure Summary

Overview

LWM provides investment supervisory services, defined as giving continuous investment advice to a client or making investments for a client based on the individual investment needs of the client. Using a risk profile, representatives of LWM meet and work with clients to evaluate each client’s financial situation and determine the strategy most suitable for the client. Clients can impose reasonable restrictions on LWM’s management of their accounts. In many cases, LWM creates and manages client portfolios using options strategies, seeking to enhance return and mitigate risk. Prior to buying or selling an option, investors must read a copy of the Characteristics & Risks of Standardized Options, also known as the options disclosure document (ODD). It explains the characteristics and risks of exchange-traded options. The ODD is available through multiple channels, including but not limited to contacting the custodian where the Client account is maintained, contacting LWM Operations Manager, Stephen Canter, or visiting the following link: http://www.optionsclearing.com/about/publications/character-risks.jsp . LWM was founded in 2009 and is primarily owned by Alexander Read. As of December 31, 2023, LWM manages $159,658,691.00 on a discretionary basis on behalf of approximately 139 clients. LWM primarily provides customized investment management services to

high-net-worth individuals, associated trusts, estates, mutual funds, and other legal entities. LWM serves as sub-advisor to an open-end mutual fund, the strategy Catalyst/Lyons Tactical Allocation Fund, which utilizes the Lyons Tactical Allocation Portfolio. For the advisory service to the fund, LWM receives an investment management fee and administrative fees from the fund and/or reimbursement of operating expenses by the Fund. It is possible that some of LWM’s individual clients’ assets are placed in investments in the fund if, in the determination of the portfolio manager, such an investment is suitable for the client. In these cases, as explained below under Fees and Compensation, the management fee from individual clients invested in the fund is adjusted. LWM serves as sub-advisor to Lowenberg Group, LLC (LWMG) a registered investment advisor. For the advisory service to LWMG, LWM receives an investment management fee on a per client basis. LWM serves as sub-advisor to Cadeau Wealth a registered investment advisor offered through Saxony Capital Management. For the advisory service to Cadeau Wealth, LWM receives an investment management fee on a per client basis. LWM participates in the Morgan Stanley Smith Barney Investment Management Services Program (a wrap program) as a Portfolio Manager. There are no differences between the ways that LWM manages clients in this program from the clients held at Charles Schwab and Co. We receive a portion of the wrap fee for our portfolio management services.

LYONS WEALTH MANAGEMENT

LYONS WEALTH MANAGEMENT

MJ INVESTING ADVISORS

MEERKAT HEDGE PARTNERS FUND LP

LYONS WEALTH MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Brochure Summary

Overview

Need help?

Send a question to 9AT support.

LYONS WEALTH MANAGEMENT LYONS WEALTH MANAGEMENT MJ INVESTING ADVISORS MEERKAT HEDGE PARTNERS FUND LP LYONS WEALTH MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Brochure Summary

Overview

LYONS WEALTH MANAGEMENT

LYONS WEALTH MANAGEMENT

MJ INVESTING ADVISORS

MEERKAT HEDGE PARTNERS FUND LP

LYONS WEALTH MANAGEMENT, LLC