9AT: ABBREA CAPITAL, LLC

ABBREA CAPITAL, LLC

other names

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Adviser Profile

Registration status

Terminated

As of Date	10/17/2024
Adviser Type - Large advisory firm
Number of Employees	7 16.67%
of those in investment advisory functions	4

AUM^*	1,190,810,620 14.25%
of that, discretionary	1,044,572,220 20.39%
Private Fund GAV^*	0
Avg Account Size	1,532,575 9.10%
% High Net Worth	80.36% 0.36%
SMA’s	Yes
Private Funds	0
Contact Info	(41 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- 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

1B 873M 727M 582M 436M 291M 145M

2015 2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker037833100	Stock NameApple Inc	$ Position$43,825	% Position6.00%	$ Change13.00%	# Change-8.00%
Stck Ticker594918104	Stock NameMicrosoft Corp	$ Position$45,545	% Position6.00%	$ Change2.00%	# Change-4.00%
Stck Ticker78462F103	Stock NameSPDR S&P 500 ETF	$ Position$36,473	% Position5.00%	$ Change1.00%	# Change-3.00%
Stck Ticker67066G104	Stock NameNvidia Corp	$ Position$27,753	% Position4.00%	$ Change21.00%	# Change785.00%
Stck Ticker464287101	Stock NameiShares S&P 100 ETF	$ Position$32,847	% Position4.00%	$ Change6.00%	# Change0.00%
Stck Ticker22160K105	Stock NameCostco Wholesale Co	$ Position$27,333	% Position4.00%	$ Change13.00%	# Change-2.00%
Stck Ticker023135106	Stock NameAmazon Com Inc	$ Position$19,379	% Position3.00%	$ Change-3.00%	# Change-10.00%
Stck Ticker30303M102	Stock NameMeta Platforms, Inc	$ Position$21,375	% Position3.00%	$ Change-2.00%	# Change-6.00%
Stck Ticker46641Q837	Stock NameJPMorgan Ultra Short Income ETF	$ Position$16,538	% Position2.00%	$ Change5.00%	# Change5.00%
Stck Ticker02079K305	Stock NameAlphabet Inc CL A	$ Position$18,559	% Position2.00%	$ Change12.00%	# Change-7.00%

Brochure Summary

Overview

Abbrea Capital LLC (“Abbrea” or the “Firm”) is a Delaware limited liability company that has been in business since July 2015. It serves as the investment adviser to clients with separately managed accounts. Abbrea’s Managing Directors and controlling owners are Steven Cutcliffe and William Osher. As of December 31, 2023, Abbrea had total discretionary assets under management of $1,044,572,220 and total non-discretionary assets under management of approximately $146,238,400. Abbrea invests principally, but not solely, in equity and debt securities that are traded publicly in U.S. markets on behalf of its clients but is authorized to enter into any type of investment transaction that it deems appropriate under the terms of the client’s account agreement. Abbrea also provides advice to clients regarding other investment managers and may have authority to retain sub-advisers for a client. When Abbrea Capital provides investment advice to its clients regarding their investment accounts,

including their retirement plan account or individual retirement account, we are fiduciaries within the meaning of certain state and federal laws such as the Employee Retirement Income Security Act and/or the Internal Revenue Code and the regulations of the U.S. Securities and Exchange Commission, as applicable. These regulations require Abbrea to act in a client’s best interest and not put our interest ahead of our clients. Abbrea also provides financial planning services for clients that specifically engage Abbrea for that service. Abbrea may assist a Client in retaining other professionals, such as accountants, and attorneys and insurance agents, but does not endorse any such professional. It is ultimately the Client’s responsibility to interview and hire such professionals based on their own judgment. Each client selects a strategy based on the individual needs of the client. Abbrea’s discretionary authority can be limited as described in Item 16. Abbrea does not participate in wrap fee programs.