MA-I/A 0001881014 XXXXXXXX Ted Vogtman 973-618-9509 tvogtman@alternativereg.com kbrunnemeriii@firsttryon.com tvogtman@alternativereg.com N 0001881014-24-000001 N James Walter Goldsmith 4079674 N 1 0001881014 First Tryon Advisors, LLC First Tryon Advisors 08-23-2021 N 867-02606 LOCATED SUPERVISED 08-23-2021 6101 Carnegie Blvd Suite 210 CHARLOTTE NC 28209 08-2021 First Tryon Advisors, LLC CHARLOTTE NC 28209 Y N President & COO 09-2024 11-2024 FTA Asset Management, LLC CHARLOTTE NC 28209 N Y Owner (Due to EDGAR limitations not allowing for overlapping dates, individual is still employed at FTA Asset Management, LLC) 03-2023 09-2024 First Tryon Advisors, LLC CHARLOTTE NC 28209 Y N President & COO (due to EDGAR system limitations not allowing for overlapping dates, individual is still employed at First Tryon Advisors, LLC) 02-2014 03-2023 First Tryon Securities, LLC CHARLOTTE NC 28209 Y Y Managing Director 04-2010 01-2014 Davenport & Company LLC Charlotte NC 28246 Y Y Director Y 01-1997 Prospect One LLC 2407 Warburton Road CHARLOTTE NC 28211 N N The business owns 3 residential rental condominiums Member, Co-Owner 2 Membership and Ownership duties 01-2010 Upstate Senior Living d/b/a The Woodlands at Furman 1500 Trailhead Court GREENVILLE SC 29617 N N A not-for-profit provider of senior housing Volunteer Board Member 5 Volunteer on the Board of Directors. Not an officer of the Board and have no day-to-day management responsibilities. Does not oversee or manage any of the money. 09-2024 FTA Asset Management, LLC 6101 CARNEGIE BLVD. SUITE 210 CHARLOTTE NC 28209 N Y Investment Adviser Owner 5 Owner 08-2021 FTA1, LLC 2407 Warburton Road CHARLOTTE NC 28211 N N FTA1, LLC is the legal entity that is a 50% member of First Tryon Advisors, LLC Sole owner, Managing Member 1 Managing Member 05-2023 Rental Property 2407 Warburton Road CHARLOTTE NC 28211 N N One rental condominium Co-Owner 1 None N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 11-21-2024 Kimberly McManus President, Alternative Regulatory Solutions, LLC