Sheridan Road Advisors, Llc, A Hub International Company

Sheridan Road Advisors, LLC, a HUB International company, was established in August 2004 and acquired by HUB International Limited in December 2018. The firm offers portfolio management services tailored to individual client goals, risk tolerance, and time horizon. Investment decisions are made with discretionary authority, and the firm acts as a fiduciary, prioritizing clients' interests. Sheridan Road also provides pension consulting services and financial planning. The firm primarily recommends mutual funds and offers services to individuals, high-net-worth individuals, and pension and profit sharing plans with no minimum account size specified. Fees for portfolio management range from 0.50% to 2.00% of account assets annually and are negotiable. Sheridan Road does not participate in wrap fee programs and does not accept performance-based fees. The firm's investment strategies include long-term trading, short-term trading, margin transactions, and options trading. Clients have the option to direct brokerage, and Sheridan Road generally recommends LPL Financial for custody and trading services. The firm reviews client accounts quarterly and provides regular reports to clients. Sheridan Road does not accept voting authority for client securities and maintains a Business Continuity Plan. The firm's personnel may receive compensation for client referrals, and Sheridan Road has a written Code of Ethics in place. Clients' non-public personal information is kept secure and confidential, and the firm does not sell client information.