9AT: DERIVATY CO

Adviser Profile

As of Date	03/31/2026
Registration	SEC, Approved, 09/02/2020
ADV Location	WHITE PLAINS, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	28,000,000 -7%
of that, discretionary	28,000,000 -7%
Number of Employees	3
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	9,333,333 -7%
SMA’s	Yes
Private Funds	0

Adviser Type

- Mid-sized advisory firm

Client Types

- Other investment advisers

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

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 ALLIES CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM25.0m	#Funds-
Adviser AURORA CAPITAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM27.2m	#Funds-
Adviser NEWFOUND RESEARCH LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.1b	#Funds-
Adviser RUSSELL INVESTMENTS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM29.1m	#Funds-
Adviser OBERWEIS ASSET MANAGEMENT (HONG KONG) LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM51.8m	#Funds-
Adviser OHA PRIVATE CREDIT ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.6b	#Funds-
Adviser PLATO'S PHILOSOPHY, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM39.4m	#Funds-
Adviser WBG ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM101.8m	#Funds-
Adviser ZEBRA CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.2m	#Funds-
Adviser MARCADO ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM26.8m	#Funds-

Brochure Summary

Overview

A. Description of the Advisory Firm Derivaty Co. (hereinafter “DERIVATY”) is a Corporation organized in the State of Delaware. On June 27, 2022Derivaty, LLC was merged with Derivaty Co. The firm was formed in July 2020. B. Types of Advisory Services Portfolio Management Services DERIVATY offers ongoing portfolio management services which are typically delivered in accordance with a subadvisory agreement with an unaffiliated investment advisory firm. This relationship will be memorialized in each contract between Derivaty and the third-party. DERIVATY will request discretionary authority from these subadvisory clients in order to select securities and execute transactions without permission from the client prior to each transaction. Risk tolerance levels are documented in the Investment Policy Statement, which is given to each client. DERIVATY seeks to provide that investment decisions are made in accordance with the fiduciary duties owed to its accounts and without consideration of DERIVATY’s economic, investment or other financial interests. To meet its fiduciary obligations, DERIVATY attempts to avoid, among other things, investment or trading practices that systematically advantage or disadvantage certain client portfolios, and accordingly, DERIVATY’s policy is to seek fair and equitable allocation of investment opportunities/transactions among its clients to avoid favoring one client over another over time. It is DERIVATY’s

policy to allocate investment opportunities and transactions it identifies as being appropriate and prudent among its clients on a fair and equitable basis over time. C. Client Tailored Services and Client Imposed Restrictions DERIVATY will tailor a program for each subadvisory client. This will include an interview session to get to know the client’s specific needs and requirements as well as a plan that will be executed by DERIVATY on behalf of the client. DERIVATY may use model allocations together with a specific set of recommendations for each client based on their personal restrictions, needs, and targets. Clients may impose restrictions in investing in certain securities or types of securities in accordance with their values or beliefs. However, if the restrictions prevent DERIVATY from properly servicing the client account, or if the restrictions would require DERIVATY to deviate from its standard suite of services, DERIVATY reserves the right to end the relationship. D. Wrap Fee Programs A wrap fee program is an investment program where the investor pays one stated fee that includes management fees, transaction costs, fund expenses, and other administrative fees. DERIVATY does not participate in any wrap fee programs. E. Assets Under Management As of December 31, 2022, DERIVATY has the following assets under management: Discretionary Amounts: Non-discretionary Amounts: Date Calculated: $33,000,000 $0 12/31/2023

DERIVATY CO

DERIVATY CO

DERIVATY LLC

[R2 CAPITAL]

R2 OPTIONS MANAGEMENT, LLC

DERIVATY, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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DERIVATY CO DERIVATY CO DERIVATY LLC [R2 CAPITAL] R2 OPTIONS MANAGEMENT, LLC DERIVATY, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

DERIVATY CO

DERIVATY CO

DERIVATY LLC

[R2 CAPITAL]

R2 OPTIONS MANAGEMENT, LLC

DERIVATY, LLC