Lanark Financial, Inc.

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

Asset-based fee: 0.5% to 2.5% a year (a range, as the brochure states it)

As stated in the firm's Form ADV Part 2A brochure dated June 30, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site

$1,784,817,450 as of October 2026, filing dated September 25, 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.

• Financial planning services
• Portfolio management for individuals and/or small businesses
• Portfolio management for businesses (other than small businesses) or institutional clients
• Pension consulting services
• Selection of other advisers (including private fund managers)
• Educational seminars/workshops

Also doing business as

ADVANCED WEALTH PLANNING GROUP, ALDYN CAPITAL INVESTMENT AND ADVISORY SERVICES, BRUCE HAGAN, FIRST STATE FINANCIAL MANAGEMENT, NORTH SHORE WEALTH MANAGEMENT GROUP, LLC

Registration

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

Registered since

2001 (25 years)

Employees

Total: 68. Performing investment advisory functions: 63.

Wrap fee program participation

No.

Custodians (Schedule D, Section 5.K(3))

RBC Capital Markets, LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

Other offices (Schedule D, Section 1.F)

24 other offices, as of the October 2026 filing

Birmingham, ALCape Girardeau, MOColumbia, MODubuque, IAFairhope, ALFarmington, MOGranville, OHHunt Valley, MDHuntsville, ALImperial, MOJackson, MOLebanon, MOLouisville, KYMassapequa, NYPalm Beach Gardens, FLPerryville, MOPlymouth, MNPriceville, ALSte Genevieve, MOSummit, NJTallahassee, FLTampa, FLWashington, MOWinter Park, FL

States registered or notice-filed

53 states or jurisdictions

AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVIVTWAWIWVWY

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

4 Reports 4 disclosure items on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Regulatory matters Items 11.C to 11.G

• 11.C(2) Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
• 11.C(4) Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
• 11.D(2) Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
• 11.D(4) In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?

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

Regulatory assets under management: $1,514,897,256 in the October 2021 data and $1,784,817,450 in the October 2026 data, up 18%.

Total employees: 80 in October 2021 and 68 in October 2026.

As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.

1. July 2026
   • Changed its legal name from NBC Securities, Inc. to Lanark Financial, Inc..
   • Updated its list of owners and control persons (Schedule A).
2. April 2026
   • Employees performing advisory functions went from 39 to 63.
   • Added the business name Bruce Hagan.
   • Added the business name Advanced Wealth Planning Group.
   • Added the business name First State Financial Management.
   • Added the business name North Shore Wealth Management Group, LLC.
   • Added the business name Aldyn Capital Investment and Advisory Services.
   • Changed its office addresses in Birmingham, AL.
   • Changed its office addresses in Dubuque, IA.
   • Changed its office addresses in Fairhope, AL.
   • Changed its office addresses in Granville, OH.
   • Changed its office addresses in Huntsville, AL.
   • Changed its office addresses in Priceville, AL.
   • Changed its office addresses in Summit, NJ.
   • Changed its office addresses in Tampa, FL.
   • Added an office in Cape Girardeau, MO.
   • Added an office in Columbia, MO.
   • Added an office in Farmington, MO.
   • Added an office in Imperial, MO.
   • Added an office in Jackson, MO.
   • Added an office in Lebanon, MO.
   • Added an office in Louisville, KY.
   • Added an office in Perryville, MO.
   • Added an office in Ste Genevieve, MO.
   • Added an office in Washington, MO.
   • No longer lists an office in Brentwood, TN.
   • No longer lists an office in Columbia, TN.
   • No longer lists an office in Lake Mary, FL.
   • No longer lists an office in Leawood, KS.
   • No longer lists an office in Santa Rosa, CA.
   • No longer lists an office in Sarasota, FL.
   • No longer lists an office in Sebring, FL.
   • No longer lists an office in Stuart, FL.
   • No longer lists an office in Winter Haven, FL.
   • No longer lists an office in Zephyrhills, FL.
   • Updated its list of owners and control persons (Schedule A).
3. January 2026
   • Updated its list of owners and control persons (Schedule A).
4. December 2025
   • Updated its list of owners and control persons (Schedule A).

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