9AT: MITCHELL, MCLEOD, PUGH & WILLIAMS, INC.

Adviser Profile

As of Date	07/30/2026
Registration	SEC, Approved, 01/13/2006
ADV Location	MOBILE, AL, United States
Contact Info	251 xxxxxxx
Websites

AUM^*	2,657,582,515 32%
of that, discretionary	1,907,705,857 31%
Number of Employees	17 13%
of those in investment advisory functions	9
Private Fund GAV^*	0
Avg Account Size	1,098,175 13%
% High Net Worth	37.95% 5%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

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

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Pension consulting services
- Publication of periodicals or newsletters

Compensation Arrangments

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

Accounting Firm Name	Filing Date	Form ADV-E
Accounting Firm Name MCDERMOTT & SMITH, PC	Filing Date11/24/2025	Form ADV-E View Report
Accounting Firm Name MCDERMOTT & SMITH, PC	Filing Date01/14/2025	Form ADV-E View Report
Accounting Firm Name MCDERMOTT & SMITH, PC	Filing Date02/08/2024	Form ADV-E View Report

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 OAKMONT CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.1b	#Funds-
Adviser OPUS CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.5b	#Funds-
Adviser LINWOOD INVESTMENT ADVISORS INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM67.7m	#Funds-
Adviser GRACE CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM108.7m	#Funds-
Adviser WARWICK PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.5b	#Funds-
Adviser DALE K. EHRHART, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM648.8m	#Funds-
Adviser STRONG TOWER ADVISORY SERVICES	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM759.2m	#Funds-
Adviser KASTEL CAPITAL ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM193.3m	#Funds-
Adviser BEACON FINANCIAL GROUP, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM745.9m	#Funds-
Adviser DB & C ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM252.2m	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker922908736	Stock NameVANGUARD INDEX FDS	$ Position$55,458,204	% Position7.00%	$ Change23.00%	# Change523.00%
Stck Ticker922908744	Stock NameVANGUARD INDEX FDS	$ Position$46,636,312	% Position6.00%	$ Change22219.00%	# Change19994.00%
Stck Ticker922908363	Stock NameVANGUARD INDEX FDS	$ Position$38,527,661	% Position5.00%	$ Change154.00%	# Change121.00%
Stck Ticker922908629	Stock NameVANGUARD INDEX FDS	$ Position$39,776,365	% Position5.00%	$ Change20.00%	# Change329.00%
Stck Ticker037833100	Stock NameAPPLE INC	$ Position$27,462,219	% Position3.00%	$ Change242.00%	# Change200.00%
Stck Ticker316092352	Stock NameFIDELITY COVINGTON TRUST	$ Position$12,670,301	% Position2.00%	$ Change45.00%	# Change17.00%
Stck Ticker02079K305	Stock NameALPHABET INC	$ Position$14,880,376	% Position2.00%	$ Change1880.00%	# Change1493.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$16,754,982	% Position2.00%	$ Change7.00%	# Change6.00%
Stck Ticker921937819	Stock NameVANGUARD BD INDEX FDS	$ Position$14,028,475	% Position2.00%	$ Change11.00%	# Change12.00%
Stck Ticker922908751	Stock NameVANGUARD INDEX FDS	$ Position$16,028,033	% Position2.00%	$ Change19.00%	# Change3.00%

Brochure Summary

Overview

We provide investment advisory services, including stock and bond portfolio management, to our clients on a discretionary and non-discretionary basis. A discretionary account is one in which the client has authorized us to direct the custodian and such brokers as we may select to buy and sell investments in the account without any other consent or authority from the client other than that which is granted in the investment advisory agreement and that which is appropriate based on the investment objectives of the client. A non-discretionary account is one in which we may give specific investment recommendations to the client, but purchase and sale orders will be placed by the client or by us when we have the client’s prior consent. We also provide non-discretionary investment advisory services and serve as an ERISA Section 3(38) or 3(21) adviser to qualified employee benefit plans including 401-(k) and profit sharing plans and to certain participants in these types of plans. In these types of relationships, we select and monitor the investment options offered to the plan participants, but we do not initiate trades for individual participants. However, we do act as the adviser to the plans themselves, with the sponsors as our client, or to certain participants in these plans. These assets

are subject to our “regular and continuous investment advisory services” and therefore they are, by definition, non- discretionary regulatory assets under management. Together, the assets in our clients’ discretionary and non-discretionary accounts as well as the non-discretionary assets in ERISA plans are referred to as our “Assets Under Management.” We manage the portfolio(s) of each client based on the investment objectives and tolerance for risk established at the inception of the relationship and as the client’s objectives and/or tolerance for risk may change over time. We allow clients to impose restrictions on investing in certain securities or in certain types of securities. We do not participate in any wrap-fee programs. As of December 31, 2023, our Regulatory Assets Under Management are $2,017,918,979. Of that total, $1,457,893,613 is managed on a discretionary basis and $560,025,366 on a non- discretionary basis. Our firm has been in business since January 20, 2006. The persons owning greater than twenty percent but less than twenty-five percent of our firm are as follows: Douglas R. McLeod – President and Managing Director Kyle C. Pugh – Vice President, Secretary and Managing Director v T. Bragg Van Antwerp, Jr. – Vice President and Managing Director

MITCHELL, MCLEOD, PUGH & WILLIAMS, INC.

MITCHELL, MCLEOD, PUGH & WILLIAMS, INC.

MITCHELL, MCLEOD, PUGH & WILLIAMS, INC.

MP CAPITAL MANAGEMENT

MMPWM, INC.

MITCHELL, MCLEOD, PUGH & WILLIAMS, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Top Holdings

Brochure Summary

Overview

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MITCHELL, MCLEOD, PUGH & WILLIAMS, INC. MITCHELL, MCLEOD, PUGH & WILLIAMS, INC. MITCHELL, MCLEOD, PUGH & WILLIAMS, INC. MP CAPITAL MANAGEMENT MMPWM, INC. MITCHELL, MCLEOD, PUGH & WILLIAMS, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Top Holdings

Brochure Summary

Overview

MITCHELL, MCLEOD, PUGH & WILLIAMS, INC.

MITCHELL, MCLEOD, PUGH & WILLIAMS, INC.

MITCHELL, MCLEOD, PUGH & WILLIAMS, INC.

MP CAPITAL MANAGEMENT

MMPWM, INC.

MITCHELL, MCLEOD, PUGH & WILLIAMS, INC.