9AT: NEW VERNON WEALTH MANAGEMENT LLC

Adviser Profile

As of Date	03/31/2026
Registration	SEC, Approved, 01/01/2013
ADV Location	HIGHLAND PARK, IL, United States
Contact Info	847 xxxxxxx
Websites

AUM^*	781,005,254 42%
of that, discretionary	781,005,254 42%
Number of Employees	8
of those in investment advisory functions	5
Private Fund GAV^*	0
Avg Account Size	1,762,992 29%
% High Net Worth	51.87% 17%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

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

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management

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 TRANSITION FINANCIAL ADVISORS GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM300.6m	#Funds-
Adviser LWS WEALTH ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM548.7m	#Funds-
Adviser KULT WEALTH MANAGEMENT GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM135.1m	#Funds-
Adviser BLUE OCEAN INVESTMENT PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM7.7m	#Funds-
Adviser WASHINGTON GROWTH STRATEGIES LLC	Hedge Fund17.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV17.2m	AUM247.2m	#Funds1
Adviser GORDIAN WEALTH ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM488.7m	#Funds-
Adviser SANTIAGO CAPITAL, LLC	Hedge Fund1.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.2m	AUM152.7m	#Funds3
Adviser MUNAKATA ASSOCIATES LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM59.2m	#Funds-
Adviser ALTMAN INVESTMENT MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM119.9m	#Funds-
Adviser SYNTAX RESEARCH, INC.	Hedge Fund38.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV38.9m	AUM202.9m	#Funds1

Brochure Summary

Overview

New Vernon Wealth Management LLC (“NV-WM”) is a Delaware limited liability company that succeeded to the investment advisory business of SF Investments, Inc. (d/b/a SF Investment Advisers) (“SFI”), effective as of January 1, 2013. Prior to that time, SFI had operated its investment advisory business since 2003. The principal ownership interests of NV-WM are divided among (i) Daniel Shapiro and Steven Shapiro and certain gift trusts established for their benefit (with a collective approximately 33% ownership interest), (ii) Mansoor Zakaria (with an approximately 33% ownership interest), and (iii) NV Capital Holdings II, LLC (also with an approximately 33% ownership interest) (“NVCH II”), a financial services holding company in which members of the Shapiro family hold a non-controlling minority interest. NV-WM acts as a discretionary investment adviser to numerous investment accounts maintained by its advisory clients (“Clients”), and generally has full power and authority to buy and sell various financial instruments for their accounts, pursuant to the terms of their respective investment advisory agreements. Among the securities that NV-WM may purchase for Client accounts are fixed income securities including Federal Government, municipal and/or corporate bonds,

and long and short positions in listed and unlisted common equities, preferred equities and convertible securities of issuers domiciled in developed or in emerging market countries. NV-WM may invest in equity securities regardless of market capitalization, including securities of micro- and small-cap companies. NV-WM strives to implement a forward-looking, value based investment philosophy across a broad range of securities and asset classes, with a focus on the risk/return profile of each Client. NV-WM manages Client assets based on the Client’s individual investment goals and needs, including consideration of existing portfolio investments, cash/liquidity needs, risk tolerance, tax considerations and investment planning time horizons. NV-WM discusses these and other factors with its Clients in an effort to develop appropriate investment strategies for each Client. NV-WM may agree, upon Client request, to specific investment restrictions or guidelines as to the types or amounts of particular financial instruments traded for such Client’s account, which may include restrictions on investing in certain securities, types of securities or general industry sectors. As of February 29, 2024, NV-WM managed approximately $ 551,945,855 of Client assets on a discretionary basis.

NEW VERNON WEALTH MANAGEMENT LLC

NEW VERNON WEALTH MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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NEW VERNON WEALTH MANAGEMENT LLC NEW VERNON WEALTH MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

NEW VERNON WEALTH MANAGEMENT LLC

NEW VERNON WEALTH MANAGEMENT LLC