9AT: DUPONT CAPITAL MANAGEMENT

other names

DUPONT CAPITAL MANAGEMENT
DUPONT CAPITAL MANAGEMENT CORP

Adviser Profile

As of Date	03/05/2025
ADV Location	WILMINGTON, DE, United States
Adviser Type - Large advisory firm
Number of Employees	36 -51%
of those in investment advisory functions	16 -45%
Registration	SEC, Approved, 10/14/1993

AUM^*	12,393,033,000 -38%
of that, discretionary	12,393,033,000 -38%
Private Fund GAV^*	175,922,791 -81%
Avg Account Size	2,065,505,500 35%
SMA’s	Yes
Private Funds	7 2
Contact Info	302 xxxxxxx
Websites

Client Types

- Pooled investment vehicles
- Pension and profit sharing plans

Advisory Activities

- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Fund Type	Count	GAV
Fund TypePrivate Equity Fund	Count4	GAV$175,922,791
Fund TypeOther Private Fund	Count3	GAV$

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 LL FUNDS	Hedge Fund67.9m	Liquidity Fund-	Private Equity Fund1.0b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund1.5b	Total Private Fund GAV2.6b	AUM2.4b	#Funds24
Adviser HATTERAS INVESTMENT PARTNERS, LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund3.3m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV3.3m	AUM187.8m	#Funds4
Adviser NORTHLEAF CAPITAL ADVISORS LTD.	Hedge Fund-	Liquidity Fund-	Private Equity Fund90.7m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund549.7m	Total Private Fund GAV640.4m	AUM660.8m	#Funds8
Adviser FRAMEWORK VENTURES	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.3b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund296.6m	Other Fund150.7m	Total Private Fund GAV2.1b	AUM1.5b	#Funds11
Adviser SAYBROOK FUND ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund97.3m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV97.3m	AUM218.7m	#Funds4
Adviser CS INVESTMENT MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund67.6m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund15.0m	Total Private Fund GAV82.6m	AUM-	#Funds5
Adviser JENERATION CAPITAL ADVISORS (HONG KONG) LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund3.9m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund55.6m	Total Private Fund GAV59.5m	AUM-	#Funds5
Adviser FIVE ARROWS	Hedge Fund-	Liquidity Fund-	Private Equity Fund8.4b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund3.5b	Total Private Fund GAV11.9b	AUM-	#Funds54
Adviser CONSTITUTION CAPITAL EQUITY PARTNERS LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund4.1b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund585.8m	Total Private Fund GAV4.7b	AUM5.1b	#Funds32
Adviser MESIROW FINANCIAL PRIVATE EQUITY ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund4.6b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund120.7m	Total Private Fund GAV4.7b	AUM7.1b	#Funds20

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker67066G104	Stock NameNVIDIA CORP	$ Position$77,742,102	% Position8.00%	$ Change14.00%	# Change-3.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$64,208,190	% Position7.00%	$ Change-2.00%	# Change-6.00%
Stck Ticker037833100	Stock NameAPPLE INC	$ Position$54,904,594	% Position6.00%	$ Change24.00%	# Change0.00%
Stck Ticker02079K107	Stock NameALPHABET INC CL C	$ Position$34,784,542	% Position4.00%	$ Change37.00%	# Change0.00%
Stck Ticker023135106	Stock NameAMAZON.COM INC	$ Position$42,808,245	% Position4.00%	$ Change0.00%	# Change0.00%
Stck Ticker11135F101	Stock NameBROADCOM INC	$ Position$27,964,161	% Position3.00%	$ Change20.00%	# Change0.00%
Stck Ticker57636Q104	Stock NameMASTERCARD INC A	$ Position$25,185,769	% Position3.00%	$ Change-2.00%	# Change-3.00%
Stck Ticker30303M102	Stock NameMETA PLATFORMS INC CLASS A	$ Position$31,938,921	% Position3.00%	$ Change-4.00%	# Change-4.00%
Stck Ticker46625H100	Stock NameJPMORGAN CHASE CO	$ Position$28,086,518	% Position3.00%	$ Change9.00%	# Change0.00%
Stck Ticker922042858	Stock NameVANGUARD FTSE EMERGING MARKETS	$ Position$30,171,054	% Position3.00%	$ Change10.00%	# Change0.00%

Brochure Summary

Overview

History and Ownership DuPont Capital has a long history of institutional asset management. The Firm’s history dates back to the 1942 establishment of a retirement pension trust for employees of EIDP, INC (“DuPont”), the intermediary parent company for DuPont Capital. In 1975, DuPont created a separate pension management division, which was the precursor to DuPont Capital. In August 1993, DuPont Capital was established and became an SEC-registered investment adviser. Registration does not imply a certain level of skill or training. As of June 1, 2019, DuPont and DuPont Capital’s ultimate parent company became Corteva, Inc. (“Corteva”), a publicly traded company (“CTVA”). Previously, DuPont Capital was 100% owned by DuPont through DuPont’s 100% ownership of Pioneer Hi-Bred International, Inc.
Types of Advisory Services Offered DuPont Capital is not currently offering investment management services to new external clients. Tailoring Services to the Individual Needs of Clients DuPont Capital makes investments for clients in accordance with mutually agreed upon written investment guidelines and provides continuous supervision of client portfolios. Investment services can be tailored to each client’s needs and objectives, and clients often impose restrictions on investing in certain securities or types of securities. DuPont Capital has established procedures and controls to help ensure compliance with each client’s investment guidelines and any client-imposed restrictions. These procedures and controls include daily portfolio compliance monitoring

supplemented by guideline monitoring software and other processes designed to ensure that portfolio managers are complying with each client’s investment guidelines. DuPont Capital tailors its separate account products to the individual needs of each client by:
• Allowing its clients to provide specific investment guidelines that DuPont Capital must follow in managing a client’s account. See Item 16 for more information on client-specific investment guidelines. As discussed in Item 16, clients often impose restrictions on investing in certain securities or types or categories of securities.
• Allowing its clients to select a custom benchmark.
• Providing its clients with access to portfolio managers by phone and/or client visits.
• Implementing its clients’ custom proxy voting policies upon request.
• Providing hedging of currency exposures, if desired.
• Supporting directed trading preferences of its clients, contingent upon DuPont Capital’s ability to achieve best execution.
• Providing supplemental client reporting as set forth in client investment management agreements. DuPont Capital does not tailor its investment advice to the investors in its commingled funds. Wrap Fee Programs DuPont Capital does not sponsor any “wrap fee” accounts. Discretionary and Non-Discretionary Assets Under Management As of December 31, 2023, DuPont Capital’s assets under management (“AUM”) were: Discretionary $ 13,842,974,000 Non-Discretionary 32,549,000 Total $ 13,875,523,000

DUPONT CAPITAL MANAGEMENT

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