1789 Capital Management

• A percentage of assets under your management
• Performance-based fees

Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ

See the firm's brochure (dated August 11, 2026) for its fees and any account minimum, on the SEC's IAPD site.

$2,725,022,048 as of October 2026, filing dated August 11, 2026.

A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means

A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.

• Portfolio management for pooled investment vehicles (other than investment companies)

Legal name

1789 Capital Management, LLC

Registration

SEC-registered investment adviser. Status as filed: Approved.

Registered since

2025 (1 year)

Employees

Total: 13. Performing investment advisory functions: 13.

Wrap fee program participation

No.

Other offices (Schedule D, Section 1.F)

1 other office, as of the September 2026 filing

Dallas, TX

States registered or notice-filed

3 states or jurisdictions

AZFLTX

SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration

2 Reports 2 disclosure items on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Civil court matters Item 11.H

• 11.H(1)(a) In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?
• 11.H(1)(b) Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures

1. April 2026
   • Employees performing advisory functions went from 8 to 13.
   • Regulatory assets under management went from $861,247,283 to $2,725,022,048 (+216%).
   • Added an office in Dallas, TX.
   • No longer lists an office in Scottsdale, AZ.
   • Registered or notice-filed in TX.
2. December 2025
   • Newly registered with the SEC.

Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.