9AT: CAPRICE CAPITAL PARTNERS, LLC

other names

CAPRICE CAPITAL PARTNERS, LLC

Adviser Profile

As of Date	03/31/2025
ADV Location	MANHATTAN BEACH, CA, United States
Adviser Type - Large advisory firm
Number of Employees	6
of those in investment advisory functions	4
Registration	SEC, Approved, 05/04/2020

AUM^*	214,430,390 -35%
of that, discretionary	121,057,829 -6%
Private Fund GAV^*	121,150,823 0%
Avg Account Size	71,476,797 -29%
SMA’s	Yes
Private Funds	4 1
Contact Info	310 xxxxxxx
Websites

Client Types

- Pooled investment vehicles
- Insurance companies

Advisory Activities

- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

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

Fund Type	Count	GAV
Fund TypeHedge Fund	Count2	GAV$121,057,828
Fund TypeOther Private Fund	Count2	GAV$92,995

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 RESOLUTE GLOBAL PARTNERS, LTD.	Hedge Fund315.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV315.4m	AUM315.4m	#Funds1
Adviser BHZ 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-	AUM153.0m	#Funds-
Adviser GREAT ELM CAPITAL MANAGEMENT, LLC	Hedge Fund12.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV12.1m	AUM350.9m	#Funds2
Adviser KANEN WEALTH MANAGEMENT LLC	Hedge Fund147.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV147.8m	AUM340.9m	#Funds3
Adviser ARISTIDES CAPITAL LLC	Hedge Fund472.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV472.8m	AUM472.8m	#Funds5
Adviser EDGE FOCUS CAPITAL MANAGEMENT, LLC	Hedge Fund446.4m	Liquidity Fund-	Private Equity Fund50.0k	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV446.5m	AUM497.8m	#Funds4
Adviser ENGINE NO.1 LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM299.9m	#Funds-
Adviser TENERE CAPITAL, LLC	Hedge Fund512.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV512.4m	AUM512.4m	#Funds5
Adviser WEBS CREEK CAPITAL MANAGEMENT LP	Hedge Fund406.6m	Liquidity Fund-	Private Equity Fund191.5m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV598.2m	AUM1.0b	#Funds4
Adviser PILGRIM GLOBAL ADVISORS LLC	Hedge Fund784.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund167.7m	Total Private Fund GAV951.9m	AUM951.9m	#Funds2

Brochure Summary

Overview

The Adviser is a limited liability company formed under the laws of the state of Delaware in February 2019. The Adviser’s sole direct owner is WCR Holdings LLC (“WCR”), a Delaware domiciled Limited Liability Company. WCR is owned by RT Caprice Holdings, LLC (50%) and PACA-WCR LLC (50%), each a Delaware Limited Liability Company. PACA-WCR LLC is wholly owned by Advantage Capital Holdings LLC (see below for additional information) and RT Caprice Holdings, LLC is wholly owned by Richard Thomson, Managing Partner of the Adviser. The Adviser’s Chief Compliance Officer is Michael Vinci. The Adviser provides investment advisory services as a sub-adviser to an affiliated SEC registered investment adviser, Advantage Capital Management LLC (CRD#: 171128) (the “Advantage Capital”). The Firm also provides investment management services to 1974 Portfolio Investments I LLC and 1974 Portfolio Investments II, L.P., private investment funds (the “1974 Funds”, and together with Advantage Capital, the “Clients”). The Adviser manages the assets of the Clients

on a discretionary and non-discretionary basis. The Adviser's investment advisory activities generally focus on providing debt solutions to small and lower- middle- market companies based in the U.S. The Adviser tailors its investment advice to the Clients, but may or may not choose to do so, in its sole discretion, with respect to future clients. As such, the Clients could impose restrictions on the types of investments made on its behalf by the Adviser. The Adviser: (i) will not have custody of the Advantage Capital assets, (ii) will not determine the final value of the Advantage Capital positions, and (iii) will not have the ability to move the Advantage Capital cash or securities. In addition, the Adviser is not responsible for performing trade settlement, and certain administrative and other back-office functions for Advantage Capital. As of December 31, 2023, the Adviser currently manages approximately $184,334,285 of Clients’ assets on a non- discretionary basis and $146,323,178 Clients’ assets on a discretionary basis.

CAPRICE CAPITAL PARTNERS, LLC

Adviser Profile

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Brochure Summary

Overview