9AT: CASTELLAN - Summary

other names

Adviser Profile

As of Date	06/17/2025
Adviser Type - Large advisory firm - An investment adviser (or subadviser) to an investment company
Number of Employees	7 -22.22%
of those in investment advisory functions	4 -20.00%
Registration	SEC, Approved, 10/02/2020

AUM^*	496,086,621 49.92%
of that, discretionary	459,847,021 38.97%
Private Fund GAV^*	39,632,045 4.80%
Avg Account Size	5,574,007 -10.72%
% High Net Worth	34.62% -30.77%
SMA’s	Yes
Private Funds	8 2
Contact Info	502 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pooled investment vehicles
- Charitable organizations

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles

Compensation Arrangments

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

Fund Type	Count	GAV
Fund TypePrivate Equity Fund	Count2	GAV$12,040,086
Fund TypeReal Estate Fund	Count1	GAV$2,589,384
Fund TypeVenture Capital Fund	Count5	GAV$25,002,575

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser THE BOLLARD GROUP LLC	Hedge Fund80.2m	Liquidity Fund-	Private Equity Fund516.9m	Real Estate Fund178.0m	Securitized Asset Fund-	Venture Capital Fund416.3m	Other Fund57.1m	Total Private Fund GAV1.7b	AUM6.8b	#Funds81
Adviser ASSET MANAGEMENT GROUP INVESTMENT CORP.	Hedge Fund60.1m	Liquidity Fund-	Private Equity Fund8.7m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund95.4m	Other Fund-	Total Private Fund GAV259.7m	AUM164.3m	#Funds18
Adviser ASSETFORT ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund37.0m	Real Estate Fund5.6m	Securitized Asset Fund-	Venture Capital Fund2.6m	Other Fund-	Total Private Fund GAV47.8m	AUM-	#Funds4
Adviser BIP CAPITAL MANAGEMENT SERVICES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund298.4m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund184.0m	Other Fund-	Total Private Fund GAV666.4m	AUM338.0m	#Funds38
Adviser INNOVIUS CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund89.0m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund252.8m	Other Fund-	Total Private Fund GAV594.6m	AUM365.5m	#Funds8
Adviser ENDOWMENT WEALTH MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund11.0m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund36.4m	Other Fund-	Total Private Fund GAV83.7m	AUM427.6m	#Funds11
Adviser INTERSECTION FINTECH VENTURES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund4.6m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund275.4m	Other Fund-	Total Private Fund GAV555.4m	AUM280.0m	#Funds2
Adviser MILLENNIUM TVP MANAGEMENT CO., LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund139.7m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund17.9m	Other Fund-	Total Private Fund GAV175.4m	AUM157.5m	#Funds4
Adviser CLOSED LOOP CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund156.1m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund34.7m	Other Fund160.5m	Total Private Fund GAV385.9m	AUM477.1m	#Funds15
Adviser CORAL TREE MANAGEMENT, LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund157.6m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund22.3m	Other Fund-	Total Private Fund GAV202.2m	AUM509.6m	#Funds4

Brochure Summary

Overview

CASTELLAN (“the Registrant”) is a limited liability company formed in September 2018 under the laws of the state of Delaware and domiciled in Kentucky and is registered as an investment adviser with the Securities and Exchange Commission. CASTELLAN is principally owned by two Grantor Trusts, CASTELLAN WHY Trust and CASTELLAN Endeavor Trust, with 100% of income in trusts distributing to charitable organizations. CASTELLAN offers additional services for ultra-high net worth families with multi- generational wealth. We partner with these families, providing them with accountable stewardship of all their resources with the goal of simplifying their lives and improving their returns. CASTELLAN uses a rigorous, disciplined, and transparent process to construct an investment strategy that is tailored to each individual and family’s investment objectives, risk, and financial situation. The portfolios are managed using alternative investments, in addition to our investment

strategies, which are discussed in further detail in Item Eight. CASTELLAN will collaborate with client’s advisory teams, often coordinating the information flow among attorneys, accountants, insurance advisers and others. CASTELLAN believes this alliance facilitates the development of solutions that are customized to the challenges and opportunities faced by its clients. Our clients will have the opportunity to place reasonable restrictions on the types of investments to be held in their portfolio. Portfolios will be managed on a discretionary basis, which means we will buy and sell securities in client accounts without their prior approval. While CASTELLAN does not impose a minimum account size, all separately managed clients must meet the definition of “qualified investor” (please refer to Item 5). CASTELLAN does not participate in or sponsor a wrap fee program. As of December 31, 2023, CASTELLAN had assets under discretionary management of $353,473,345.

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CASTELLAN

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