9AT: BAKER ELLIS ASSET MANAGEMENT LLC

BAKER ELLIS ASSET MANAGEMENT LLC

other names

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Adviser Profile

As of Date	02/29/2024
Adviser Type - Large advisory firm
Number of Employees	5 -28.57%
of those in investment advisory functions	3 -40.00%
Registration	California, Cancelled, 01/06/2006
Other registrations (1)	SEC, Approved, 09/20/2002

AUM^*	792,147,607 5.54%
of that, discretionary	792,147,607 5.54%
Private Fund GAV^*	0
Avg Account Size	2,400,447 3.94%
% High Net Worth	40.85% -1.27%
SMA’s	Yes
Private Funds	0
Contact Info	503 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

Discretionary

Non-discretionary

751M 644M 537M 429M 322M 215M 107M

2016 2017 2018 2019 2020 2021 2022 2023

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker922908769	Stock NameVANGUARD INDEX FDS	$ Position$70,789,392	% Position10.00%	$ Change2.00%	# Change0.00%
Stck Ticker084670702	Stock NameBERKSHIRE HATHAWAY INC DEL	$ Position$30,458,325	% Position4.00%	$ Change-1.00%	# Change0.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$23,523,727	% Position3.00%	$ Change-3.00%	# Change-1.00%
Stck Ticker921946406	Stock NameVANGUARD WHITEHALL FDS	$ Position$18,805,384	% Position3.00%	$ Change-1.00%	# Change-1.00%
Stck Ticker92204A702	Stock NameVANGUARD WORLD FD	$ Position$21,480,703	% Position3.00%	$ Change4.00%	# Change-2.00%
Stck Ticker922908363	Stock NameVANGUARD INDEX FDS	$ Position$16,524,388	% Position2.00%	$ Change9.00%	# Change6.00%
Stck Ticker381430529	Stock NameGOLDMAN SACHS ETF TR	$ Position$11,581,529	% Position2.00%	$ Change2.00%	# Change3.00%
Stck Ticker381430107	Stock NameGOLDMAN SACHS ETF TR	$ Position$11,635,854	% Position2.00%	$ Change-6.00%	# Change2.00%
Stck Ticker47804J206	Stock NameJOHN HANCOCK EXCHANGE TRADED	$ Position$12,577,498	% Position2.00%	$ Change-1.00%	# Change0.00%
Stck Ticker46625H100	Stock NameJPMORGAN CHASE & CO.	$ Position$12,433,759	% Position2.00%	$ Change13.00%	# Change0.00%

Brochure Summary

Overview

1. Our history: Baker Ellis was founded in March 2002 by Brian C. Baker, CFA, and Barnes C. Ellis. Both of us have extensive experience in the investment industry. We each own 50% of the firm. We have no outside owners or affiliated firms. The investment team includes firm founders Brian C. Baker and Barnes Ellis, as well as all Portfolio Managers. 2. Our services: Baker Ellis manages investment accounts for individuals, trusts, businesses, and foundations. We utilize fundamental analysis to identify what we consider attractive investments. Our accounts may include equities of any market capitalization or country; mutual funds; bonds; and other assets. 3. Individual accounts: Our accounts are individually managed, and client funds are not co-mingled. We are able to customize accounts to address the

unique needs of individual clients, including complex tax considerations and socially conscious restrictions. Each of our services is customized to the client’s needs. Therefore, we do not manage “model” portfolios. Each client can instruct us to avoid trading a security, industry, or investment vehicle if so desired. Due to the unique treatment of each client account, there may be instances where one account will not hold the same securities or perform similarly to other managed accounts. 4. Assets under management: As of December 31, 2022, we managed approximately $750 million in discretionary assets. Our advisory contracts give us full discretion over all accounts, although we may occasionally accommodate requests from clients to manage all or part of their accounts on a consultative basis.