SUCCESSFUL PORTFOLIOS LLC

This brochure provides information about Successful Portfolios LLC's qualifications and business practices. If you have any questions about this brochure’s contents, please contact us at (727) 744-3614 or info@successfulportfolios.com. Successful Portfolios LLC (SP) submitted the information in this brochure to the Investment Advisor Registration Depository (IARD). Please note that neither the United States Securities and Exchange Commission (SEC) nor any state securities authority, such as the State of Florida, has approved or verified it. Additional information regarding Successful Portfolios LLC is available on the SEC website at www.adviserinfo.sec.gov, CRD# 152429. March 24, 2025 Successful Portfolios LLC 611 Druid Road East Suite 407 Clearwater, FL 33756 www.successfulportfolios.com successfulportfolios.com | 611 Druid Road East, Suite 407, Clearwater, FL 33756  Table of Contents Material Changes 1. Advisory Business 2. Fees and Compensation 3. Performance-Based Fees and Side-By-Side Management 4. Types of Clients 5. Methods of Analysis, Investment Strategies, and Risk of Loss 6. Disciplinary Information 7. Other Financial Industry Activities and Affiliations 8. Code of Ethics, Participation or Interest in Client Transactions, and Personal Trading 9. Brokerage Practices 10. Review of Accounts 11. Client Referrals and Other Compensation 12. Custody 13. Investment Discretion 14. Voting Client Securities 15. Financial Information Regarding Successful Portfolios LLC 16. Privacy Policy 17. Biographical Information Regarding Associated Persons of Successful Portfolios LLC successfulportfolios.com | 611 Druid Road East, Suite 407, Clearwater, FL 33756  2 Material Changes There have been no material changes since our last filing on March 26, 2024. www.successfulportfolios.com | 611 Druid Road East, Suite 407, Clearwater, FL 33756  3 1. Advisory Business Successful Portfolios LLC (SP) is an investment advisor firm that provides personalized financial planning and investment management services to individuals, families, and organizations. We create customized portfolios tailored to each client's unique needs, goals, and risk tolerance, using a wide range of readily marketable securities, including stocks, bonds, options, and Exchange-Traded Funds (ETFs). Our approach is rooted in a deep understanding of investor psychology, financial markets, and the rigorous analysis of investment opportunities. As of March 24, 2025, SP managed approximately $242.6 Million in client assets. Discretionary assets accounted for about 90% of total managed assets. SP manages about 565 accounts for 192 households. Parker Evans, CFA, CFP, founded Successful Portfolios in February 2010. He is the President and Chief Compliance Officer, owning 95% of SP shares. Joe Baer, APMA, is the Chief Operating Officer, owning 5% of SP shares. 2. Fees and Compensation Full-Service Custom Asset Management The table below presents our fee schedule for full-service custom asset management. Please be aware that you might also incur brokerage commissions and custodial account fees. No broker or custodian shares with SP account fees or commissions incurred by our clients. Assets Under Management Annualized Compensation First $1,000,000 Next $1,000,000 Next $1,000,000 Next $1,000,000 Next $1,000,000 Over $5,000,000 1.25% .95% .80% .70% .60% .50% We collect advisory fees in arrears. We prorate and assess fees monthly or daily, depending on the custodial broker. Our compensation is negotiable depending on account size, strategy, and complexity. Performance-Based Fee Alternative As an alternative to our full-service fee schedule, qualified investors, as defined by the SEC here, may negotiate a performance fee compensation arrangement based on a set percentage of the client’s quarterly mark-to-market account profit, subject to a high watermark. In this arrangement, SP receives no compensation unless the client shows a profit in his account. Hourly Fee Financial Planning Successful Portfolios also offers a la carte financial planning services at an hourly rate of $150. Clients do not need an investment management account to engage Successful Portfolios in financial planning, and having an SP investment management account does not mean a client must hire SP for financial planning. www.successfulportfolios.com | 611 Druid Road East, Suite 407, Clearwater, FL 33756  4 3. Performance-Based Fees and Side-By-Side Management We do not favor performance-based fee accounts over clients with standard fee accounts. Our policy prohibits post-allocating client trades to performance-based fee accounts or other accounts. We execute trades in performance-based fee accounts in the same manner as other trades. 4. Types of Clients We provide investment advice and management services to a range of clients, including: • Individuals and families • High-net-worth individuals • Trusts and estates • Pension and profit-sharing plans • Charitable organizations • Corporations and other businesses Our minimum combined account size for Full-Service Custom Investment Management is $100,000. However, we may waive this requirement at our discretion. www.successfulportfolios.com | 611 Druid Road East, Suite 407, Clearwater, FL 33756  5 5. Methods of Analysis, Investment Strategies, and Risk of Loss At Successful Portfolios, our investment process starts with listening to you. We work closely with you to understand your unique risk tolerance, return objectives, time horizon, tax considerations, and other factors shaping your financial goals. Our team provides personalized guidance and solutions based on a thorough understanding of your situation. Our relationship is a collaboration, and we value your input and participation in the investment process. What sets us apart is our commitment to ongoing communication, our expertise in tax-aware investing, and our dedication to helping you achieve your long-term financial objectives. Our investment approach is based on a combination of fundamental, technical, and quantitative analysis: • Fundamental analysis involves evaluating a company's financial health, competitive position, and growth prospects. We examine factors such as analyst ratings, revenue and earnings growth estimates, profit margins, debt levels, industry trends, and the quality of management. Risks include the potential for inaccurate financial reporting, unforeseen competitive threats, and changes in the overall economic environment. • Technical analysis seeks to forecast future price movements by studying historical market data, primarily price and volume. We employ tools such as chart patterns, trend lines, Fibonacci retracement and extension, momentum indicators, and moving averages. Risks include the subjective nature of interpretation, the potential for sudden trend reversals, and the reliance on historical patterns that may not repeat. • Quantitative analysis uses mathematical and statistical modeling to assess investment opportunities. We may employ optimization, factor analysis, and risk modeling techniques. Risks www.successfulportfolios.com | 611 Druid Road East, Suite 407, Clearwater, FL 33756  6 include the potential for model errors, data inaccuracies, and the failure of historical relationships to persist. We plan and manage portfolios that align with each client's risk tolerance and return objectives. We recommend that clients maintain a well-diversified portfolio comprising readily marketable stocks, bonds, options, and exchange-traded funds (ETFs). These securities are subject to various risk factors, including: • Market Risk - the potential for investment losses due to factors that affect the overall performance of financial markets, such as recessions, political turmoil, changes in interest rates, natural disasters, and pandemics. • Company- or Issuer-Specific Risk - the risk that the value of a security may decline due to factors • • • that specifically affect that issuer, such as earnings or cashflow disappointments, management missteps, or competitive pressures. Interest Rate Risk - the risk that rising interest rates cause bond prices to drop or that declining interest rates reduce returns on money market assets. Inflation Risk—the risk that a portfolio's purchasing power can erode due to increases in the general price level of goods and services. Sequence of Return Risk - the risk that the order and timing of investment returns adversely impact overall performance. Retirement income portfolios can be especially vulnerable to this risk, as negative returns early in retirement can significantly reduce the portfolio's longevity, even if the long-term average return is positive. We encourage clients to read our blog post, Navigating Investment Risk for Optimal Portfolios, for a more comprehensive discussion of investment risks, including mitigation strategies. At Successful Portfolios, we want you to understand that investing involves risk. While our team works diligently to craft personalized investment strategies, we cannot promise any specific outcome or rate of return. You should be prepared for periodic gains and losses in your account, as market fluctuations are a normal part of the investment process. It's important to remember that no investment strategy can eliminate all risk or guarantee extraordinary profits. However, a well-devised investment strategy based on careful risk management techniques, such as diversification, strategic asset allocation, and patience, is essential for mitigating risk and helping you achieve your long-term financial goals. Our investment strategies include: • Long-term equity investing: We seek to identify companies with favorable fundamentals, competitive advantages, and attractive valuations. • Fixed income investing: We construct bond portfolios for income and stability, focusing on investment grade issuers and laddered maturity profiles. • Tactical and strategic asset allocation: We adjust asset allocation in response to client direction, changing risk tolerance, and changing market conditions to optimize risk-adjusted returns and client satisfaction. • Core-satellite strategy: We build portfolios with a mix of core exchange-traded funds, which provide broad market exposure and diversification, and satellite holdings, which are assets that we select to enhance returns or provide additional diversification benefits. This approach www.successfulportfolios.com | 611 Druid Road East, Suite 407, Clearwater, FL 33756  7 combines the advantages of both passive and active investing while controlling overall portfolio risk. • Tax-aware strategies: We manage accounts, including IRA withdrawals, to help you reduce income taxes and optimize after-tax returns. By employing techniques such as investing in tax- free municipal bonds, harvesting tax losses, strategically placing assets, and thoughtfully rebalancing, we strive to minimize the impact of taxes on your investment performance. When making investment decisions, we seek tax-advantaged qualified dividend income (QDI), long- term capital gains, or step-up in basis tax avoidance. At Successful Portfolios, our professionals craft personalized investment strategies aligned with each client's unique financial situation, goals, and risk tolerance. Our team takes the time to thoroughly understand your needs and preferences, ensuring that we tailor your portfolio to your specific circumstances. By employing a range of potential investment strategies and carefully managing risk, we strive to deliver satisfactory, risk-adjusted returns over the long term. Our goal is to help you achieve your financial objectives while providing peace of mind and exceptional service every step of the way. 6. Disciplinary Information We are pleased to inform you that, as of this Form ADV Part 2 filing, there are no disciplinary events, material legal or regulatory actions, or other pertinent issues to report about our firm or any of our management personnel. We are committed to following applicable laws, regulations, and industry best practices that ensure integrity, transparency, and service to our clients. 7. Other Financial Industry Activities and Affiliations Successful Portfolios is an independent Registered Investment Advisor (RIA) not owned or controlled by any other RIA, broker-dealer, bank, or insurance company. Our sole focus is advising clients and planning and managing their investment portfolios. Additionally, Successful Portfolios serves as the Portfolio Manager and Administrator for two private pooled investment vehicles, Evans Cook LLC (EC) and Barrett Evans Capital LLC (BEC). Interactive Brokers provide custody for EC and BEC assets in separate titled accounts. As of February 29, 2024, EC's net assets amounted to $7,566,238, while BEC's totaled $3,831,568. Parker Evans holds shares in both EC and BEC. SP offers shares in these private investment vehicles exclusively to accredited investors through private offering memorandums and subscription agreements. 8. Code of Ethics, Participation or Interest in Client Transactions, and Personal Trading SP requires each of its representatives to adhere to Successful Portfolios’ Code of Ethics as a condition of employment. Clients are welcome to request a copy of our Code of Ethics at any time by contacting us at info@successfulportfolios.com. We do not engage in principal transactions, where we buy or sell securities from our account to a client's account. We also do not engage in agency cross transactions, acting as an intermediary between two clients. Representatives of Successful Portfolios may buy or sell securities for their accounts. However, our Code of Ethics establishes guidelines to reduce conflicts of interest and ensure that we prioritize our clients. www.successfulportfolios.com | 611 Druid Road East, Suite 407, Clearwater, FL 33756  8 9. Brokerage Practices Successful Portfolios seeks to select and recommend brokerage firms that provide the best combination of execution quality, price, and services for our clients. Factors we consider when choosing a broker- dealer include: • Execution quality and cost • Research and other investment-related services. • Financial strength and stability • Reputation and regulatory history We do not engage in soft dollar arrangements or receive direct or indirect compensation from broker- dealers in exchange for client trades. Interactive Brokers (IB) and Charles Schwab have each approved SP participation in their independent registered investment advisor programs. These programs allow qualifying advisors to manage brokerage accounts held by clients at these firms. Block Trading Procedures Successful Portfolios has designed its block trading procedures to treat all clients equitably. Whenever possible, we execute trades for multiple client accounts concurrently, and each client is allocated the average execution price for the combined transaction. We pre-allocate orders before submission to ensure fairness and transparency. 10. Review of Client Accounts SP conducts regular reviews of client accounts. Our investment professionals review portfolio performance and asset allocation annually and more frequently if significant changes in market conditions, client circumstances, or other factors impact the client's strategy or account performance. In addition to periodic reviews, Successful Portfolios may review your account based on potential triggers and information you bring to our attention, including: • Major life events, such as marriage, divorce, retirement, or the birth of a child. • Significant changes in the client's financial situation, goals, or risk tolerance. • Changes in tax laws or other regulations affecting investment markets. • Material market events or significant movements in the client's investments. Clients receive monthly account statements from their custodians detailing account holdings, transactions, fees paid, and other relevant information. We may also provide clients with a proprietary supplemental portfolio performance report and analysis at least once per year. 11. Client Referrals and Other Compensation SP does not pay for client referrals or accept remuneration from investment dealers or product sponsors. www.successfulportfolios.com | 611 Druid Road East, Suite 407, Clearwater, FL 33756  9 12. Custody of Client Assets Successful Portfolios does not maintain custody of client assets. Qualified custodians, including Interactive Brokers and Charles Schwab, hold all client assets in separate accounts in the client's name. Clients receive account statements directly from their custodian at least quarterly, detailing account holdings, transactions, and other relevant information. We encourage clients to review these statements carefully. The custodian will also prepare tax reports such as 1099s and make them available online for client download. For up-to-date information, we recommend that clients log in to their accounts by visiting their custodian’s website. We also provide clients with supplemental account reports and analyses. We manage variable annuity portfolios held at Nationwide Mutual Insurance Company. Nationwide Advisory Solutions is a recognized leader in providing no-load, low-cost, tax-deferred annuity solutions for clients of fee-only Registered Investment Advisors. Interactive Brokers and Chase Bank are qualified custodians for investors in Evans Cook LLC and Barrett Evans Capital LLC. Also, regulators may deem we have custody of EC and BEC assets due to our ability to pay expenses and process investor subscriptions and redemptions. For this reason, we arrange for an annual surprise audit examination of EC and BEC by an independent public accounting firm registered with the Public Company Accounting Oversight Board. We will provide EC and BEC shareholders with a copy of the auditor’s results upon request. 13. Investment Discretion Successful Portfolios typically has discretionary authority to manage client accounts. This authority allows us to buy or sell securities without obtaining client consent for each transaction. Clients grant us this authority by executing an investment management agreement, which outlines the terms and conditions of our services. A client Investment Policy Statement may specify any restrictions or guidelines for a client's account. 14. Voting of Client Securities SP does not vote on corporate proxy statements on behalf of clients. Clients should make vote proxies directly through their brokerage firm and may call us at (727) 744-3614 for assistance with voting proxies. 15. Financial Information Regarding Successful Portfolios LLC Regulations do not require Successful Portfolios to provide a detailed financial statement regarding our firm in this brochure. This is because we meet the following criteria: 1. We do not require or solicit prepayment of more than $1,200 in fees per client six months or more in advance. 2. We do not have any financial conditions likely to impair our ability to meet contractual commitments to clients. 3. We have not ever been the subject of a bankruptcy petition. www.successfulportfolios.com | 611 Druid Road East, Suite 407, Clearwater, FL 33756  10 16. Privacy Policy Successful Portfolios is committed to safeguarding our clients' confidential information. We hold all personal information provided by clients in the strictest confidence and have implemented procedures to protect the security and confidentiality of client information. We do not disclose any nonpublic personal information about our clients or former clients to anyone except as required by law, at the client's request, or as necessary to provide our services. Clients request a copy of our Privacy Policy at any time. Our Privacy Policy outlines the measures we take to protect client information, including: 1. Physical and electronic safeguards to protect against unauthorized access to client information. 2. Employee training and guidelines to maintain the confidentiality of client information. 3. Limiting access to client information to only those employees who need it to perform their job responsibilities. 4. Restrictions on sharing client information with third parties, except as required by law or to provide our services. www.successfulportfolios.com | 611 Druid Road East, Suite 407, Clearwater, FL 33756  11 18. Biographical Information Regarding Associated Persons of Successful Portfolios LLC Parker Evans, CFA, CFP, CMT, President & Chief Investment Strategist Parker founded Successful Portfolios in February 2010. He is a licensed investment advisor representative with over thirty years of professional experience. Parker holds the Chartered Financial Analyst (CFA), Certified Financial Planner (CFP), and Chartered Market Technician (CMT) designation. Parker is a former President of First Discount Securities Corp., a pioneering discount brokerage firm acquired by First Union (Wachovia). Parker is a former Vice President of First Union, Smith Barney, and Fifth Third Private Bank. He earned a B.A. with a major in Economics from Eckerd College, where he won the Wall Street Journal Award for outstanding academic achievement. Parker received an MBA with Honors from Nova Southeastern University. For the ten years before his current position with SP, Parker was Vice President and Senior Portfolio Manager at Fifth Third Private Bank. Joe Baer, APMA, Portfolio Manager & Client Advisor Joe is a licensed investment advisor representative with 14 years of professional experience. Joe joined SP in September 2010. He holds the Accredited Portfolio Management Advisor (APMA) designation awarded by the College for Financial Planning. Joe graduated with honors from the University of South Florida in 2011 with a Bachelor of Science in Business with a major in Finance. Joe is a graduate of the Boston University Financial Planning Certificate Program. For information regarding the professional designations held by SP representatives and access persons, please refer to these links: • Chartered Financial Analyst (CFA) • Certified Financial Planner (CFP) • Chartered Market Technician (CMT) • Accredited Portfolio Management Advisor (APMA) More information about Parker Evans, CFA, CFP, CMT, and Joe Baer, APMA is available on the SEC’s website at https://adviserinfo.sec.gov/. www.successfulportfolios.com | 611 Druid Road East, Suite 407, Clearwater, FL 33756  12 Supervision of Representatives and Employees Parker Evans and Joe Baer work as a team at the same office in Clearwater, FL. Parker Evans is the Chief Compliance Officer of Successful Portfolios and supervises Baer. Clients can reach Parker by telephone at (727) 744-3614. Successful Portfolios LLC 611 Druid Road East Suite 407 Clearwater, FL 33756 (727) 744-3614 info@successfulportfolios.com www.successfulportfolios.com www.successfulportfolios.com | 611 Druid Road East, Suite 407, Clearwater, FL 33756