9AT: ERGUZ, LLC

ERGUZ, LLC

ERGUZ, LLC

Adviser Profile

As of Date	03/03/2026
Registration	SEC, Approved, 07/05/2013
ADV Location	THE WOODLANDS, TX, United States
Contact Info	832 xxxxxxx
Websites

AUM^*	889,000,000 23%
of that, discretionary	889,000,000 23%
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	5,591,195 -64%
% High Net Worth	100.00%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- High net worth individuals

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Reported AUM

889M 762M 635M 508M 381M 254M 127M

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

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

A. Description of the Advisory Firm Erguz, LLC (“Erguz”), was formed on July 5, 2013, and is based in the Woodlands, Texas. Erguz has been providing investment advisory services since 2013. Javier Guzman is the owner and managing member of Erguz. He also serves as the Chief Compliance Officer. B. Types of Advisory Services ASSET MANAGEMENT Erguz offers asset management services to advisory Clients. Erguz will offer Clients ongoing asset management services through determining individual investment goals, time horizons, objectives, and risk tolerance. Investment strategies, investment selection, asset allocation, portfolio monitoring and the overall investment program will be based on the above factors. Discretionary When the Client elects to use Erguz on a discretionary basis, the Client will sign a limited trading authorization or equivalent allowing Erguz to determine the securities to be bought or sold and the amount of the securities to be bought or sold. Erguz will have the authority to execute transactions in the account without seeking Client approval on each transaction. Non-Discretionary When the Client elects to use Erguz on a non-discretionary basis, Erguz will determine the securities to be bought or sold and the amount of the securities to be bought or sold. However, Erguz will obtain prior Client approval

on each and every transaction before executing any transaction. At the current time, all clients of Erguz are managed on a discretionary basis. SUBADVISORY SERVICES Erguz may act as a Sub-Advisor to other non-affiliated investment advisors who hire Erguz to manage a portion or all of their Client’s portfolio. The non-affiliated investment advisors must have discretionary authority over the account and the ability to delegate that discretionary authority to Erguz. Erguz will manage the assets according to agreed upon strategies between the non-affiliated investment advisor and Erguz. At the current time, Erguz offers sub-advisory services to an advisory firm that, while non-affiliated, is owned by his father. C. Client-Tailored Services and Client-Imposed Restrictions The goals and objectives for each Client are documented in our Client files. Investment strategies are created that reflect the stated goals and objectives. Clients may impose restrictions on investing in certain securities or types of securities. These restrictions may, however, prohibit engagement with Erguz. D. Wrap Fee Programs Erguz does not participate in a Wrap Program. E. Amounts Under Management As of December 31, 2023, Erguz provides management services for: Discretionary Assets: Non-Discretionary Assets: $720,000,000 $0