9AT: O'NEIL GLOBAL ADVISORS, INC.

other names

O'NEIL GLOBAL ADVISORS, INC.

Adviser Profile

As of Date	04/30/2025
ADV Location	LOS ANGELES, CA, United States
Adviser Type - Large advisory firm
Number of Employees	34 -19%
of those in investment advisory functions	8 -47%
Registration	SEC, Approved, 12/17/2020
Other registrations (1)	California, ERA - Withdrawn, 11/13/2020

AUM^*	367,700,000 25%
of that, discretionary	367,700,000 25%
Private Fund GAV^*	31,788,000 27%
Avg Account Size	4,178,409 -20%
SMA’s	Yes
Private Funds	2 1
Contact Info	310 xxxxxxx
Websites

Client Types

- Pooled investment vehicles
- Charitable organizations
- Corporations or other businesses not listed above

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$31,788,000

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 ENHANCING CAPITAL LLC	Hedge Fund18.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV18.7m	AUM342.0m	#Funds1
Adviser COOK & BYNUM CAPITAL MANAGEMENT, LLC	Hedge Fund256.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV256.9m	AUM322.2m	#Funds3
Adviser VALUEWORKS, LLC	Hedge Fund293.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV293.3m	AUM429.4m	#Funds3
Adviser TAYLOR HOFFMAN WEALTH MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM304.3m	#Funds-
Adviser BREAKOUT CAPITAL PARTNERS	Hedge Fund930.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV930.6m	AUM610.8m	#Funds3
Adviser FOREST HILL CAPITAL, LLC	Hedge Fund66.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV66.5m	AUM146.7m	#Funds1
Adviser SIENA CAPITAL PARTNERS GP, LLC	Hedge Fund368.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV368.2m	AUM368.2m	#Funds1
Adviser EMPIRICAL ASSET MANAGEMENT, LLC	Hedge Fund524.0k	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV524.0k	AUM467.0m	#Funds1
Adviser CRESTWOOD CAPITAL MANAGEMENT, L.P.	Hedge Fund293.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV293.1m	AUM293.1m	#Funds6
Adviser LIZARD INVESTORS LLC	Hedge Fund20.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV20.6m	AUM223.1m	#Funds2

Brochure Summary

Overview

A. Describe your advisory firm, including how long you have been in business. Identify your principal owner(s). a. O’Neil Global Advisors Incorporated (“OGA”) is a Delaware corporation that was founded in 2019. OGA is a wholly owned subsidiary of O’Neil Capital Management Inc. (“OCM”), a California corporation that was formed in 2010 to manage the investments of the O’Neil family office. As of February 4, 2020, management responsibilities for quantitative strategies were transferred from OCM to OGA. As of January 1, 2021, management responsibilities for all non-quantitative investments were transferred from OCM to OGA. b. OCM is a wholly owned subsidiary of Data Analysis Inc. (“DAI”), a California corporation. DAI was founded in 1984 as a holding company whose primary mission is to provide shared services for its operating subsidiaries. The beneficial owners of DAI are a series of legal trust instruments created for the benefit of the O’Neil family. B. Describe the types of advisory services you offer. a. OGA is a global investment advisor that implements strategies which include both technical analysis strategies that are implemented by portfolio managers and quantitative systematic strategies that are developed by OGA’s quantitative strategies team. Both strategies utilize the O’Neil Methodology, which is based on technical analysis and unique stock picking process. OGA focuses primarily

on equity investments in the US and other developed and emerging markets. Individual strategies may use proprietary ratings, quantitative factors, machine learning models, historical precedent analysis, and rules-based portfolio construction techniques. C. Explain whether (and, if so, how) you tailor your advisory services to the individual needs of clients. a. OGA serves as the investment advisor, with discretionary trading authority, to pooled investment vehicles, the securities of which are offered to investors on a private placement basis (each, a “Fund” and collectively, the “Funds”), as well as investment advisor, with discretionary trading authority, to separately managed accounts (each, a “SMA” and collectively, the “SMAs”). Any use of the term “Client” in this Brochure refers to the Funds or SMAs. b. OGA’s services are tailored to the investment objectives and guidelines of Clients through a process that is described in Item 8. D. If you participate in wrap fee programs . a. OGA does not participate in wrap-fee programs. E. If you manage client assets, disclose the amount of client assets you manage on a discretionary basis and the amount of client assets you manage on a non-discretionary basis. a. As of February 28, 2023, OGA had $294 million USD in assets under management. OGA does not manage any Client assets on a non-discretionary basis.

O'NEIL GLOBAL ADVISORS, INC.

Adviser Profile

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