9AT: RYE BROOK CAPITAL, LLC

Adviser Profile

As of Date	02/03/2026
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Other registrations (2)	SEC, ERA - Withdrawn, 11/16/2020 Connecticut, ERA - Withdrawn, 11/16/2020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
ADV Location	GREENWICH, CT, United States
Contact Info	203 xxxxxxx
Websites

AUM^*	327,295,914 -31%
of that, discretionary	327,295,914 -31%
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	16,364,796 -31%
% High Net Worth	15.00% 50%
SMA’s	Yes
Private Funds	0 2

Adviser Type

- Large advisory firm

Client Types

- High net worth individuals
- Other

Advisory Activities

- Portfolio management for individuals and/or small 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 337 FRONTIER CAPITAL, LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund588.7m	Total Private Fund GAV588.7m	AUM795.3m	#Funds3
Adviser BUILDGROUP MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund294.4m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV294.4m	AUM294.4m	#Funds4
Adviser CHANNING GLOBAL ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund90.6m	Total Private Fund GAV90.6m	AUM1.1b	#Funds3
Adviser CEDAR STREET ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund338.8m	Total Private Fund GAV338.8m	AUM938.4m	#Funds3
Adviser PIPER SANDLER ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM364.6m	#Funds-
Adviser BASTION MANAGEMENT II LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund438.8m	Total Private Fund GAV438.8m	AUM572.7m	#Funds5
Adviser PRMIM	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund1.5b	Total Private Fund GAV1.5b	AUM1.5b	#Funds1
Adviser CPC MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund428.0m	Total Private Fund GAV428.0m	AUM428.0m	#Funds1
Adviser COLLAB+CURRENCY MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund332.5m	Total Private Fund GAV332.5m	AUM332.5m	#Funds10
Adviser FCA CORP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund106.2m	Total Private Fund GAV106.2m	AUM623.1m	#Funds1

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker46090E103	Stock NameINVESCO QQQ TRUST SERIES 1	$ Position$22,292	% Position16.00%	$ Change15.00%	# Change-10.00%
Stck Ticker92189F676	Stock NameVANECK SEMICONDUCTOR ETF	$ Position$13,846	% Position10.00%	$ Change43.00%	# Change-16.00%
Stck Ticker85210A104	Stock NameSPROTT PHYSICAL URANIUM TR	$ Position$14,520	% Position10.00%	$ Change-8.00%	# Change1.00%
Stck Ticker81369Y704	Stock NameSS INDUSTRIAL SELECT SECTOR	$ Position$8,478	% Position6.00%	$ Change24.00%	# Change8.00%
Stck Ticker81369Y886	Stock NameST SR UTL SL SE SPDR ETF-USD	$ Position$7,122	% Position5.00%	$ Change10.00%	# Change12.00%
Stck Ticker65340P106	Stock NameNEXGEN ENERGY LTD	$ Position$7,336	% Position5.00%	$ Change-18.00%	# Change1.00%
Stck Ticker92189F692	Stock NameVANECK PHARMACEUTICAL ETF	$ Position$7,363	% Position5.00%	$ Change	# Change
Stck Ticker500767306	Stock NameKRANESHARES CSI CHINA INTERN	$ Position$7,165	% Position5.00%	$ Change2.00%	# Change19.00%
Stck Ticker81369Y100	Stock NameSS MATERIALS SELECT SECTOR	$ Position$5,512	% Position4.00%	$ Change10.00%	# Change8.00%
Stck Ticker81369Y605	Stock NameSS FINANCIAL SELECT SECTOR	$ Position$4,381	% Position3.00%	$ 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.

RYE BROOK CAPITAL, LLC

RYE BROOK CAPITAL, LLC

RIBEIRO FERNANDES, CARLOS GUSTAVO

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Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

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Overview

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RYE BROOK CAPITAL, LLC RYE BROOK CAPITAL, LLC RIBEIRO FERNANDES, CARLOS GUSTAVO

Related Companies

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

RYE BROOK CAPITAL, LLC

RYE BROOK CAPITAL, LLC

RIBEIRO FERNANDES, CARLOS GUSTAVO