9AT: EXCEED ADVISORY LLC

EXCEED ADVISORY LLC

EXCEED ADVISORY LLC

Adviser Profile

As of Date	02/19/2026
Registration	SEC, Approved, 07/03/2014
ADV Location	NEW YORK, NY, United States
Contact Info	646 xxxxxxx
Websites

AUM^*	119,150,346 55%
of that, discretionary	119,150,346 55%
Number of Employees	3 50%
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	1,295,112 17%
% High Net Worth	32.26% 31%
SMA’s	No
Private Funds	0

Adviser Type

- An investment adviser (or subadviser) to an investment company

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Other investment advisers

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses

Compensation Arrangments

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

Reported AUM

119M 102M 85M 68M 51M 34M 17M

2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Description of Firm and Principal Owners We became registered with the SEC as an investment advisor in July of 2014. We are a wholly-owned subsidiary of Exceed Holdings LLC, which was formed in 2013. Our CEO, Joseph Halpern, is also the CEO of Exceed Holdings and owns 40% of that company. No other individual or entity owns more than 25% of Exceed Advisory. Our Advisory Services Our advisory business is built on providing option-based investment strategies through different vehicles, including separately managed accounts (“SMA”), mutual funds, and exchange traded funds (“ETF”). We do not provide general portfolio management, nor do we advise on general market news or conditions or recommend particular securities. When providing advice to clients, we implement an option-based investment strategy based on the client’s risk/reward objectives. For example, the client may indicate that it seeks enhanced exposure to the S&P 500 or to specific overseas markets with a small level of downside protection. We would then gather additional data and formulate our advice accordingly. How We Tailor our Services; Client Ability to Restrict Investments When advising a mutual fund (“Fund”) or an ETF, our advice will conform to the management agreement in place between us and the Fund or ETF. Investors

in the Funds or ETFs are not permitted to restrict investments in those vehicles. When providing advice to SMAs, our services are tailored to the client’s needs and are responsive to the specific concerns the client hopes to address through an option-based investment strategy. In all cases, our advice will generally be limited to option-based investment strategies. Within that framework, we will work with our clients to address any investment restrictions that may exist. In addition to the option based solutions we implement, we also retain the ability to invest in other securities, to the extent consistent with our obligations under the advisory agreement and in accordance with the client’s objectives. Client accounts will routinely hold cash or equivalents, and we may use our discretionary authority to invest in other securities, as we deem appropriate. SMA clients may provide direction to us or impose restrictions regarding our investment in other securities. Wrap Fee Programs We don’t participate in wrap fee programs. All clients pay separately for investment advice and trade execution. Assets Under Management We manage all client assets on a discretionary basis. As of December 31, 2023, we had $49.1 million in assets under management.