9AT: HORIKO CAPITAL MANAGEMENT LLC

other names

HORIKO CAPITAL MANAGEMENT LLC

Adviser Profile

As of Date	02/26/2025
ADV Location	NEW YORK, NY, United States
Adviser Type - Large advisory firm
Number of Employees	5
of those in investment advisory functions	3
Registration	SEC, Approved, 10/06/2017
Other registrations (1)	New York, Terminated, 02/05/2018

AUM^*	368,991,030 46%
of that, discretionary	368,991,030 46%
Private Fund GAV^*	210,312,960 25%
Avg Account Size	61,498,505 46%
% High Net Worth	33.33%
SMA’s	Yes
Private Funds	2
Contact Info	347 xxxxxxx
Websites

Client Types

- High net worth individuals
- Investment companies
- Pooled investment vehicles

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles

Compensation Arrangments

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

Fund Type	Count	GAV
Fund TypeHedge Fund	Count2	GAV$210,312,960

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 WESTBECK CAPITAL MANAGEMENT LLP	Hedge Fund154.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV154.1m	AUM286.7m	#Funds3
Adviser SOVIERO ASSET MANAGEMENT, LP	Hedge Fund179.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV179.1m	AUM179.1m	#Funds3
Adviser OGBORNE CAPITAL MANAGEMENT, LLC.	Hedge Fund423.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV423.2m	AUM423.2m	#Funds3
Adviser SIVIK GLOBAL HEALTHCARE, LLC	Hedge Fund313.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV313.7m	AUM313.7m	#Funds3
Adviser ZENYATTA CAPITAL MANAGEMENT LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM295.8m	#Funds-
Adviser GULLANE CAPITAL, LLC	Hedge Fund320.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV320.9m	AUM320.9m	#Funds24
Adviser HMS INVESTMENT ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM281.9m	#Funds-
Adviser OWLS NEST PARTNERS	Hedge Fund254.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV254.4m	AUM472.9m	#Funds6
Adviser TALOMON CAPITAL LIMITED	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 GALAXY INVESTMENT MANAGEMENT, LLC	Hedge Fund307.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV307.2m	AUM307.2m	#Funds5

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker30303M102	Stock NameMETA PLATFORMS INC	$ Position$50,471,827	% Position13.00%	$ Change21.00%	# Change-5.00%
Stck Ticker023135106	Stock NameAMAZON COM INC	$ Position$41,781,780	% Position11.00%	$ Change13.00%	# Change-2.00%
Stck Ticker02079K305	Stock NameALPHABET INC	$ Position$35,711,190	% Position9.00%	$ Change11.00%	# Change-3.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$35,824,512	% Position9.00%	$ Change29.00%	# Change-2.00%
Stck Ticker58155Q103	Stock NameMCKESSON CORP	$ Position$34,653,202	% Position9.00%	$ Change5.00%	# Change-3.00%
Stck Ticker67066G104	Stock NameNVIDIA CORPORATION	$ Position$28,182,729	% Position7.00%	$ Change58.00%	# Change9.00%
Stck Ticker037833100	Stock NameAPPLE INC	$ Position$25,689,596	% Position7.00%	$ Change-9.00%	# Change-2.00%
Stck Ticker026874784	Stock NameAMERICAN INTL GROUP INC	$ Position$19,574,890	% Position5.00%	$ Change-3.00%	# Change-2.00%
Stck Ticker23331A109	Stock NameD R HORTON INC	$ Position$20,978,470	% Position5.00%	$ Change-1.00%	# Change-3.00%
Stck Ticker595112103	Stock NameMICRON TECHNOLOGY INC	$ Position$17,264,176	% Position5.00%	$ Change39.00%	# Change-2.00%

Brochure Summary

Overview

Firm Description HCM was established as a New York limited liability company in April 2000 and approved as a SEC registered investment adviser on October 6, 2017. HCM was formerly a New York State registered investment adviser. The Investment Adviser’s principal business and occupation is to provide financial management and advisory services to individuals, corporations, and other institutional clients throughout the world. Principal Owners Hideji Horiko owns 99% of the HCM. Types of Advisory Services HCM serves as investment manager for 3 private investment funds. In particular, HCM provides investment advice to investment vehicles formed as a domestic entity (a limited partnership) and a foreign entity (a Cayman Island exempt company and Unit Trust). HCM also provides discretionary investment advice to other domestic and foreign institutional clients, including high net worth individuals. As investment manager, HCM offers investment advice and management in the following types of securities: - US and Non-US Equity and equity related securities - Event arbitrage activities involving US and Non-US companies - Fixed and adjustable rate US Government and Agency bonds, US Treasury Notes and US Treasury Bills - Debt Securities and instruments issued by US and Non-US corporations - Futures contracts, foreign exchange

commitments, leverage contracts, currencies - Commodities and commodity interests As of DECEMBER 31, 2023, HCM manages $316,358,922 in assets for 4 investment vehicles and 2 high net worth individuals on a discretionary basis. Tailored Relationships The goals and objectives for each client are documented in the investment management agreement with each client. Investment policy statements are created that reflect the stated goals and objective. The investment management agreement may impose restrictions on investing in certain securities or types of securities. Agreements may not be assigned without client consent. Types of Agreements The following agreements define the typical client relationships. Investment Management Agreement HCM provides discretionary investment advisory services as an investment manager for its clients pursuant to various investment management agreements, limited partnership agreements and operating agreements. HCM's investment management fees are determined by, among other factors, the strategy, the type of assets to be managed, the intensity of the analysis required, and the size of the pool of the assets. HCM may also provide financial planning services to its individual clients. The base annual fee schedule typically ranges between 1.0% and 3.0% of assets under management.

HORIKO CAPITAL MANAGEMENT LLC

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