Item 5 Additional Compensation .......................................................................................................................................25
Item 6 Supervision .................................................................................................................................................................25
Item 1 Form ADV Part 2B Brochure Supplement – Joseph Malhas ............................................................................ 26
Item 2 Educational Background/Business Experience ................................................................................................ 27
Item 3 Disciplinary Information .......................................................................................................................................... 27
Item 5 Additional Compensation ....................................................................................................................................... 27
Item 6 Supervision ................................................................................................................................................................. 27
NinePointTwo Capital LLC | 4
A. Description of Advisor Firm
NinePointTwo Capital LLC (the “Advisor”, the “Firm”) was formed as of January 24, 2018.
The Firm was registered as an investment advisor firm with the State of California securities
regulators from June 29, 2018, to April 14, 2021. As of March 11, 2021, NinePointTwo Capital
LLC is registered with the Securities and Exchange Commission (the “SEC”). The principal
owners of the firm are Timothy Streufert and Joseph Malhas. NinePointTwo Capital LLC
intends to offer discretionary portfolio management services to individuals and institutions.
NinePointTwo Capital LLC is also the general partner (the “General Partner”) of NPT Neutron
Fund I, LP (the “Partnership”), a pooled investment vehicle. For a more complete
description of the services see Item 4B.
B. Description of Advisory Services Offered
Advisory Services
NinePointTwo Capital LLC’s principal service is providing fee-based investment advisory
services. The Advisor practices custom management of portfolios, on a discretionary basis,
according to the client’s objectives. The Advisor’s primary approach is to use a tactical
allocation strategy aimed at reducing risk and increasing performance. The Advisor uses
any of the following: exchange listed securities, foreign securities, corporate debt securities,
commercial paper, municipal securities, United States government securities, options in
securities and commodities, futures contracts on tangibles and intangibles and interests in
partnerships investing in real estate, and oil and gas interests to accomplish this objective.
The Advisor recommends, on occasion,
redistributing investment allocations to diversify the
portfolio in an effort to reduce risk and increase performance. The Advisor recommends
specific stocks to increase sector weighting and/or dividend potential. The Advisor
recommends employing cash positions as a possible hedge against market movement
which may adversely affect the portfolio. When appropriate, the Advisor recommends
selling positions for reasons that include, but are not limited to, harvesting capital gains or
losses, business or sector risk exposure to a specific security or class of securities,
overvaluation or overweighting of the position(s) in the portfolio, change in risk tolerance of
client, or any risk deemed unacceptable for the client’s risk tolerance.
NPT Neutron Fund I, LP is a Delaware limited partnership formed on June 14, 2019 to invest
in equities, commodities, and futures interests. The business address of the Partnership
and NinePointTwo Capital LLC, the Partnership's General Partner, is 1901 Avenue of the
Stars, Suite 1100, Los Angeles, CA 90067. The General Partner is a Nevada limited liability
company. The General Partner was registered with the State of California as an investment
adviser from June 29, 2018, to April 14, 2021. As of March 11, 2021, the General Partner is
registered with the SEC. It has been registered with the Commodity Futures Trading
Commission (the "CFTC") as a commodity pool operator since June 28, 2019, and as a
commodity trading advisor since August 1, 2019. The General Partner has been a member
NinePointTwo Capital LLC | 5
of the National Futures Association (the "NFA") since July 25, 2019. The General Partner will
manage all aspects of the Partnership's business. This pool commenced trading on April
27, 2020.
The Advisor will provide investment advisory services and portfolio management services
and will not provide securities custodial or other administrative services. At no time will the
Advisor accept or maintain custody of a client’s funds or securities, except for authorized
fee deduction.
C. Clients Tailored Services and Client Imposed Restrictions
The Advisor will tailor its advisory services to its client’s individual needs based on meetings
and conversations with the client. If clients wish to impose certain restrictions on investing
in certain securities or types of securities, the Advisor will address those restrictions with
the client to have a clear understanding of the client’s requirements.
D. Wrap Fee Programs
The Advisor does not provide portfolio management services to wrap fee programs.
E. Assets Under Management
As of December 31, 2023, the Advisor has the following assets under management:
Discretionary: $623,518,121
Non-Discretionary: $0