9AT: ROCKTOP PARTNERS, LLC

other names

Adviser Profile

As of Date	03/29/2024
Adviser Type - Large advisory firm
Number of Employees	18 -28.00%
of those in investment advisory functions	16 60.00%
Registration	SEC, Approved, 07/25/2016

AUM^*	260,467,678 -71.94%
of that, discretionary	0
Private Fund GAV^*	260,467,678
Avg Account Size	130,233,839 -71.94%
SMA’s	Yes
Private Funds	2
Contact Info	844 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

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

Fund Type	Count	GAV
Fund TypeReal Estate Fund	Count2	GAV$260,467,678

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser CROSS LAKE PARTNERS LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund802.7m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV802.7m	AUM1.1b	#Funds5
Adviser GRANDVIEW PROPERTY PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund764.8m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV764.8m	AUM851.6m	#Funds11
Adviser WEWORK CAPITAL ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund59.8m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV59.8m	AUM484.8m	#Funds9
Adviser GRIES FINANCIAL PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund12.3m	Real Estate Fund4.8m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV17.1m	AUM1.3b	#Funds8
Adviser SUNDANCE BAY	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund25.3m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV25.3m	AUM2.0b	#Funds1
Adviser LONG WHARF CAPITAL LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund980.1m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV980.1m	AUM980.1m	#Funds4
Adviser PHORCYS INVESTMENT ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund39.6m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV39.6m	AUM1.2b	#Funds1
Adviser WHI REAL ESTATE PARTNERS L.P.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.0b	#Funds-
Adviser TERRA REIT ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund337.7m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV337.7m	AUM1.1b	#Funds1
Adviser VALSTONE PARTNERS VI	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund743.1m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV743.1m	AUM753.8m	#Funds5

Brochure Summary

Overview

The Adviser is a Texas limited liability company and has its principal place of business in Irving, Texas. The Adviser was formed in Texas in 2015 and is managed by Jason Pinson. Rocktop Technologies, LLC, a Delaware limited liability company (“Rocktop Tech”), owns 100% of the Adviser and Rocktop Tech is owned 77.10% by Rocktop Holdings II, LLC, a Delaware limited liability company (“RHII”), and 22.90% by Mortgage Assets Management, LLC, a Delaware limited liability company (“MAM”). RHII is owned 60% by Rocktop Asset Management, LLC, a Delaware limited liability company (“RAM”), and 40% by Jazz Realty Rocktop, LLC, a Delaware limited liability company (“Jazz Realty”). RAM is owned 100% by Jason Pinson and Jazz Realty is majority owned by Andrew Stone. MAM is owned 100% by SHAP 2018-1, LLC, a Delaware limited liability company. The Adviser provides investment advisory and asset management services to funds, alternative asset managers, and joint ventures (each a “Fund” and collectively the “Funds”). The Funds may also be collectively referred to as the “Client” or “Clients”1. The Adviser identifies for purchase on behalf of the Clients’ residential mortgage loan portfolios and real estate owned assets (“REO”), some of which may have title or other defects which may impact the value of the asset to the current owner. These real estate assets are typically mortgage loans secured by residential

real estate and may include non-performing loans, performing loans, re-performing loans, REO liens, and GNMA early- buyout loans (individually a “Portfolio Investment” and collectively “Portfolio Investments”). The Clients, or special purpose entities directly or indirectly controlled by the Clients (each an “SPV”), purchase the Portfolio Investments and the Adviser utilizes an asset based due diligence review and proprietary legal platform to create a pool of assets that can be liquidated, re-pooled or resold into the secondary mortgage loan markets. While the Clients will follow the general strategy stated above, the Adviser may tailor the specific services with respect to each Client based on the particular investment objectives and type of assets applicable to such investment. The Adviser does not participate in wrap fee programs. As of December 31, 2023, the Adviser doesn’t manage any Client assets on a discretionary basis and manages $260,467,678 in assets on a non-discretionary basis. 1 “Fund” or “Client” means a private investment fund, joint venture or alternative investment manager to which the Adviser provides investment advisory and/or asset management services and/or invests on behalf of on nondiscretionary basis. The individuals and other persons that invest in the Adviser’s Clients are generally referred to herein as “investors.” Unless otherwise expressly stated herein, the term “Client” does not include “investors.”

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ROCKTOP PARTNERS, LLC

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