9AT: NEW VERNON WEALTH MANAGEMENT LLC

NEW VERNON WEALTH MANAGEMENT LLC

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

Reported AUM

781M 669M 558M 446M 335M 223M 112M

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

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

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.