9AT: RYE BROOK CAPITAL, LLC

other names

Adviser Profile

As of Date	03/07/2024
Adviser Type - Large advisory firm
Number of Employees	1
of those in investment advisory functions	1
Registration	SEC, Approved, 12/16/2020
Other registrations (2)	SEC, ERA - Withdrawn, 11/16/2020 Connecticut, ERA - Withdrawn, 11/16/2020
Former registrations	RYE BROOK CAPITAL, LLC

AUM^*	474,967,214 18.41%
of that, discretionary	474,967,214 18.41%
Private Fund GAV^*	116,272,178 -71.79%
Avg Account Size	23,748,361 -11.19%
% High Net Worth	10.00% -25.00%
SMA’s	Yes
Private Funds	2 11
Contact Info	203 xxxxxxx
Websites

Client Types

- High net worth individuals
- 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

Fund Type	Count	GAV
Fund TypeOther Private Fund	Count2	GAV$116,272,178

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 CEDAR STREET ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund253.1m	Total Private Fund GAV253.1m	AUM632.8m	#Funds2
Adviser CONSILIUM INVESTMENT MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund447.0m	Total Private Fund GAV447.0m	AUM472.3m	#Funds2
Adviser 337 FRONTIER CAPITAL, LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund490.9m	Total Private Fund GAV490.9m	AUM512.6m	#Funds3
Adviser PRMIM	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund707.6m	Total Private Fund GAV707.6m	AUM707.6m	#Funds1
Adviser BUILDGROUP MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund250.4m	Total Private Fund GAV250.4m	AUM371.3m	#Funds2
Adviser ROSE CAPITAL ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM543.2m	#Funds1
Adviser COLLAB+CURRENCY MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund462.9m	Total Private Fund GAV462.9m	AUM485.3m	#Funds3
Adviser SQN CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund21.3m	Total Private Fund GAV21.3m	AUM282.1m	#Funds2
Adviser FCA CORP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund52.4m	Total Private Fund GAV52.4m	AUM465.4m	#Funds1
Adviser BELL ASSET MANAGEMENT USA INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund383.3m	Total Private Fund GAV383.3m	AUM421.9m	#Funds2

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker85210A104	Stock NameSPROTT PHYSICAL URANIUM TR	$ Position$9,200	% Position12.00%	$ Change-39.00%	# Change-33.00%
Stck Ticker389638107	Stock NameGRAYSCALE ETHEREUM TRUST	$ Position$8,585	% Position11.00%	$ Change-9.00%	# Change-24.00%
Stck Ticker46090E103	Stock NameINVESCO QQQ TRUST SERIES 1	$ Position$8,384	% Position11.00%	$ Change-62.00%	# Change-65.00%
Stck Ticker922042874	Stock NameVANGUARD FTSE EUROPE ETF	$ Position$5,876	% Position8.00%	$ Change-67.00%	# Change-67.00%
Stck Ticker35086T109	Stock NameFOUR CORNERS PROPERTY TRUST	$ Position$5,632	% Position7.00%	$ Change-46.00%	# Change-46.00%
Stck Ticker92189F676	Stock NameVANECK SEMICONDUCTOR ETF	$ Position$5,579	% Position7.00%	$ Change-60.00%	# Change-65.00%
Stck Ticker81369Y209	Stock NameHEALTH CARE SELECT SECTOR	$ Position$4,314	% Position6.00%	$ Change-55.00%	# Change-54.00%
Stck Ticker65340P106	Stock NameNEXGEN ENERGY LTD	$ Position$4,087	% Position5.00%	$ Change42.00%	# Change58.00%
Stck Ticker78463V107	Stock NameSPDR GOLD SHARES	$ Position$2,866	% Position4.00%	$ Change-53.00%	# Change-55.00%
Stck Ticker59522J103	Stock NameMID-AMERICA APARTMENT COMM	$ Position$2,695	% Position4.00%	$ Change	# Change

Brochure Summary

Overview

A. The Adviser is a Connecticut limited liability company and has its principal place of business located in Greenwich, CT. The Adviser provides discretionary investment advisory and sub-advisory services to private investment funds for sophisticated, qualified investors (the “Funds” or the “Clients”). As a registered investment adviser, the Adviser owes a fiduciary duty to all of its clients. In 2006, the decision by the Court of Appeals for the D.C. Circuit in Goldstein v. SEC, 451 F.3d 873 (D.C. Cir. June 23, 2006), with respect to private funds, clarified that the “client” of an investment adviser to a private fund is the fund itself and not an investor in the fund. The Adviser was formed in 2017 by its founder, Carlos Gustavo Ribeiro Fernandes (the “Principal”). B. The Adviser seeks to generate absolute returns while minimizing volatility through pursuing a long-term strategy. C. While each of its Clients

will follow the general strategy stated above, the Adviser may tailor the specific advisory services with respect to each Client based on the particular investment objectives and strategies described in the applicable Client’s (i) confidential offering memorandum or separate account agreement (as applicable) and (ii) governing documents (referred to collectively as “Offering Documents”). All discussion of the Clients in this Brochure, including but not limited to their investments, the strategies used in managing the Clients, and conflicts of interest faced by the Adviser in connection with the management of the Clients are qualified in their entirety by reference to each Client’s respective Offering Documents. D. The Adviser does not participate in wrap fee programs. E. As of 12/31/23, the Adviser manages $474,967,214 in discretionary assets and $0 in non-discretionary assets.

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RYE BROOK CAPITAL, LLC

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