9AT: ROG IX, LLC

ROG IX, LLC

other names

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Adviser Profile

As of Date	03/22/2024
Adviser Type - Large advisory firm
Number of Employees	33
of those in investment advisory functions	13
Registration	SEC, Approved, 6/7/2019

AUM^*	539,888,380 7.31%
of that, discretionary	539,888,380 7.31%
Private Fund GAV^*	0 -100.00%
Avg Account Size	539,888,380 7.31%
SMA’s	No
Private Funds	0
Contact Info	713 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

Reported AUM

Discretionary

Non-discretionary

503M 431M 359M 287M 216M 144M 72M

2019 2020 2021 2022 2023

Private Funds

GAV Count

Employees

Brochure Summary

Overview

ROG IX LLC (the “Adviser”) is an investment advisory firm organized as a Delaware limited liability company. Randolph Newcomer Jr. and Scott Rice are principal owners of the Adviser. The Adviser provides discretionary investment management services to a pooled investment vehicle (the “Fund” or “Client”)1. The Adviser’s services to the Fund consist of (i) investigating, identifying and evaluating investment opportunities; (ii) structuring, negotiating and making investments on behalf of the Fund; (iii) managing and monitoring the performance of such investments; and (iv) exiting such investments on behalf of the Fund. The Adviser’s services to the Fund are subject to the specific investment objectives and restrictions applicable to such Fund, as set forth in such Fund’s limited partnership agreement and other governing documents (collectively, the “Governing Documents”). The Fund is offered under an exemption for any person whose business consists of owning or holding oil, gas, or other mineral royalties, or interests therein, as defined in the Investment Company Act of 1940, as amended (the “Company Act”) and is therefore not required to register as an investment company with the SEC in accordance with the exemptions available in

the Company Act. Investors and prospective investors in each Fund should refer to the Governing Documents of that Fund for information on the investment objectives and investment restrictions with respect to that Fund. There can be no assurance that any of the Funds’ investment objectives will be achieved. As such, the Adviser’s services are generally not tailored to the individualized needs of any particular investor of the Fund. Since the Adviser does not provide individualized advice to investors (and an investment in the Fund does not, in and of itself, create an advisory relationship between the investor and the Adviser), investors must consider whether a particular Fund meets their investment objectives and risk tolerance prior to investing. As of the date of this Brochure, the Adviser has approximately $539,888,380 in regulatory assets under management. The Adviser manages all Client assets on a discretionary basis. All discussion of the Funds in this Brochure, including but not limited to their investments, the strategies used in managing the Funds, and conflicts of interest faced by the Adviser in connection with the management of the Funds are qualified in their entirety by reference to each Funds’ respective Governing Documents.