Battery Global Advisors, LLC

Battery Global Advisors, LLC, established in 2006, specializes in providing personalized financial planning, investment management, and family office services to high net worth individuals and private pooled investment funds. The firm manages approximately $4.27 billion in assets for 111 clients, with $2.06 billion under discretionary management. Family Office Clients are charged a tiered annual management fee based on investable assets, starting at 1.00% for the first $5 million. The firm may recommend its Private Funds to clients, with fees varying based on the fund structure. Battery Global Advisors exercises discretionary authority over Private Fund investments, with clients having the option to place limits. The firm reviews client accounts periodically, providing written reports and financial statements. Battery Global Advisors may receive soft dollar benefits from broker-dealers for research services. The firm has established policies to address potential conflicts of interest and complies with a Code of Ethics. Clients are urged to review account statements provided by custodians and compare them with reports from the firm. Battery Global Advisors generally does not vote proxies for clients but may do so in specific circumstances. The firm does not participate in class actions on behalf of clients. Financial information is not applicable due to fee collection practices and bankruptcy history.