9AT: SOVEREIGN'S CAPITAL MANAGEMENT, LLC

other names

SOVEREIGN'S CAPITAL MANAGEMENT, LLC

Adviser Profile

As of Date	08/29/2025
ADV Location	RALEIGH, NC, United States
Adviser Type - Large advisory firm
Number of Employees	35
of those in investment advisory functions	26 -13%
Registration	SEC, Approved, 07/29/2022
Other registrations (1)	SEC, ERA - Withdrawn, 06/30/2022
Former registrations	SOVEREIGN'S CAPITAL MANAGEMENT, LLC

AUM^*	1,053,789,074 22%
of that, discretionary	1,053,789,074 22%
Private Fund GAV^*	1,314,338,000 58%
Avg Account Size	37,635,324 8%
SMA’s	No
Private Funds	35 12
Contact Info	919 xxxxxxx
Websites

Client Types

- Investment companies
- Pooled investment vehicles

Advisory Activities

- Portfolio management for investment companies
- 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$66,229,000
Fund TypePrivate Equity Fund	Count16	GAV$682,079,000
Fund TypeReal Estate Fund	Count4	GAV$62,285,000
Fund TypeVenture Capital Fund	Count8	GAV$143,716,000
Fund TypeOther Private Fund	Count5	GAV$360,029,000

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 CAPRICORN INVESTMENT GROUP LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund3.2b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund3.3b	Other Fund513.6m	Total Private Fund GAV10.3b	AUM12.5b	#Funds29
Adviser BROOKLINE INVESTMENTS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund70.5m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund214.2m	Other Fund63.1m	Total Private Fund GAV561.9m	AUM402.6m	#Funds7
Adviser MULTICOIN CAPITAL MANAGEMENT, LLC	Hedge Fund3.0b	Liquidity Fund-	Private Equity Fund2.9b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund42.7m	Other Fund-	Total Private Fund GAV6.0b	AUM5.9b	#Funds17
Adviser GENERATION PARTNERS MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund64.6m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund259.0m	Other Fund-	Total Private Fund GAV582.6m	AUM323.6m	#Funds6
Adviser CROSSTIMBERS CAPITAL GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund538.7m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund40.4m	Other Fund-	Total Private Fund GAV619.5m	AUM761.9m	#Funds19
Adviser FIRST ANALYSIS CAPITAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund96.8m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund108.3m	Other Fund-	Total Private Fund GAV313.4m	AUM205.1m	#Funds10
Adviser BASE PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund460.8m	Other Fund-	Total Private Fund GAV921.6m	AUM-	#Funds5
Adviser BELIEF, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund22.1m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund17.0m	Other Fund-	Total Private Fund GAV56.1m	AUM-	#Funds10
Adviser GLOBAL OPPORTUNITY ADVISORS (MAURITIUS) LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.9b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund6.5m	Other Fund-	Total Private Fund GAV1.9b	AUM-	#Funds7
Adviser QUIET CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund59.5m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund2.6b	Other Fund-	Total Private Fund GAV5.2b	AUM2.5b	#Funds91

Brochure Summary

Overview

FirmOverview Sovereign’sCapitalisanassetmanagementfirmoriginallyfoundedin2012.Sovereign’sCapitalis headquarteredinAtlanta,Georgia.TheprincipalowneroftheFirmisSovereign’sCapitalHoldings, LLCwhichisownedbyMMSCMAM,LLC,LukasRoush,HenryKaestner,andJohnColeman.MMSCM AM,LLCisownedbyCaseyCrawford.
Sovereign’sCapitalOfferings Sovereign’s Capital provides discretionary portfolio management services to private pooled investment vehicles (the “Private Investment Funds”), Separately Managed Account Client (“SMA Clients”), and an Exchange-traded Fund (“ETF), collectively (“Client(s)”) in accordance with the investment guidelines set forth in each Private Investment Fund’s governing documents, Client Agreement,andtheETF’sprospectusandstatementofadditionalinformation(“SAI”).Sovereign’s CapitalisresponsiblefortheinvestmentdecisionsandperformanceofthePrivateInvestmentFunds, SMAClientaccountsandETF.
Separately Managed Accounts are fully discretionary and managed in accordance with the InvestmentGuidelinesprovidedintheClientAgreement.Sovereign’sCapitalwilltailoritsadvicefor SMAClients.However,theFirmdoesnottailoritsinvestmentadvicetotheneedsofinvestorsinthe PrivateInvestmentFundsorETF.
Additionally,

investors in the Private Investment Funds are required to meet certain suitability requirements, such as being an “Accredited Investor,” a “Qualified Client” and/or a “Qualified Purchaser”asdefinedunderfederallaws.InvestorsinterestedinaPrivateInvestmentFundshould refertothePrivateInvestmentFund’sgoverningdocumentsforimportantinformationregardingthe Private Investment Fund’s investment objectives, risks, fees, and additional disclosures for a completeunderstandingofthetermsandconditionsforinvestingintherelevantPrivateInvestment Fund.
Wrap-FeePrograms Sovereign’sCapitaldoesnotparticipateinanywrapfeeprograms.
AssetsUnderManagement As of December 31, 2023, Sovereign’s Capital had $867,191,714 of regulatory assets under management.Allassetsaremanagedonadiscretionarybasis.

SOVEREIGN'S CAPITAL MANAGEMENT, LLC

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