SEC Redesignates Judge for Epic Capital Wealth Advisors Proceeding

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Administrative Proceedings Rulings Release No. 6952 / November 25, 2025 Administrative Proceeding File No. 3-22307 In the Matter of Epic Capital Wealth Advisors, LLC Order Redesignating Presiding Judge and for Further Proceedings The Securities and Exchange Commission remanded this proceeding to the Office of Administrative Law Judges on November 21, 2025. Due to the current unavailability of the previously designated Administrative Law Judge and the Commission’s expectation that this proceeding be concluded with alacrity, I designate myself to preside in this proceeding and perform other and related duties in accordance with the Commission’s Rules of Practice. 17 C.F.R. §§ 200.30-10(a)(2), .201.110. The Commission’s opinion requires me to determine whether Epic Capital Wealth Advisors LLC’s registration to become an investment adviser shall be granted or denied. The Commission ordered that I consider whether the requirements in Section 203(c)(1) of the Investment Advisers Act of 1940 have been satisfied and whether Epic Capital is prohibited from registering under Advisers Act Section 203A. 15 U.S.C. §§ 80b-3(c)(1), 80b-3a. I ORDER the parties to file simultaneous opening briefs addressing these issues by December 15. Specifically, the parties should discuss: 1) Whether Epic Capital has satisfied requirements (A) through (H) in Advisers Act Section 203(c)(1). 2) Whether Epic Capital has a reasonable expectation of reaching $100 million in assets under management within 120 days of its registration becoming effective. See 17 C.F.R. § 275.203A-2(c). In analyzing these issues, the parties must address each of the points raised by the Commission in its order and anything else they deem relevant.

The parties may file reply briefs by December 22. In their briefs, the parties should cite hearing exhibits in accordance with their numerical designations per the exhibit list attached to the record index issued by the Office of the Secretary on July 14, 2025. I anticipate that this proceeding will be decided on the existing record. However, either party may propose to supplement the record with documentary evidence by December 3. Alternatively, if either party believes that an additional hearing is required to address the matters that the Commission ordered that I determine, it must file a motion by December 3, requesting a hearing and explaining why one is needed and what additional testimony could be adduced. A hearing could be held virtually or at a location convenient for the parties and witnesses. /s/ Dean C. Metry Chief Administrative Law Judge