9AT: ALPINE WOODS CAPITAL INVESTORS, LLC

other names

Adviser Profile

As of Date	03/31/2025
Adviser Type - Large advisory firm
Number of Employees	12 -20.00%
of those in investment advisory functions	3
Registration	SEC, Approved, 12/16/1997

AUM^*	364,068,932 0.87%
of that, discretionary	364,068,932 0.87%
Private Fund GAV^*	246,272,947 -36.90%
Avg Account Size	52,009,847 -56.77%
SMA’s	No
Private Funds	3
Contact Info	914 xxxxxxx
Websites

Client Types

- Pooled investment vehicles
- Charitable organizations

Advisory Activities

- 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	Count3	GAV$246,272,947

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 SABREPOINT CAPITAL MANAGEMENT	Hedge Fund420.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV420.7m	AUM420.7m	#Funds1
Adviser BANDERA PARTNERS	Hedge Fund357.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV357.1m	AUM363.7m	#Funds4
Adviser ACTUSRAYPARTNERS LIMITED	Hedge Fund139.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV139.0m	AUM1.2b	#Funds6
Adviser WHITE OAKS INVESTMENT MANAGEMENT, INC	Hedge Fund854.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV854.2m	AUM427.1m	#Funds16
Adviser HUNTING HILL GLOBAL CAPITAL, LLC	Hedge Fund439.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV439.0m	AUM644.6m	#Funds8
Adviser NYES LEDGE CAPITAL MANAGEMENT, LLC	Hedge Fund265.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV265.9m	AUM265.9m	#Funds2
Adviser CAPCO ASSET MANAGEMENT, LLC	Hedge Fund165.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV165.6m	AUM470.6m	#Funds1
Adviser INCLINE GLOBAL MANAGEMENT, LLC	Hedge Fund103.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV103.6m	AUM187.7m	#Funds5
Adviser 22NW, LP	Hedge Fund261.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV261.1m	AUM261.1m	#Funds1
Adviser MAYTECH GLOBAL INVESTMENTS	Hedge Fund73.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV73.5m	AUM848.5m	#Funds1

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker11135F101	Stock NameBROADCOM INC	$ Position$23,035,622	% Position4.00%	$ Change24.00%	# Change-5.00%
Stck Ticker037833100	Stock NameAPPLE INC	$ Position$19,330,170	% Position4.00%	$ Change7.00%	# Change-4.00%
Stck Ticker02079K107	Stock NameALPHABET INC	$ Position$15,058,281	% Position3.00%	$ Change10.00%	# Change5.00%
Stck Ticker949746101	Stock NameWELLS FARGO CO NEW	$ Position$15,325,736	% Position3.00%	$ Change-38.00%	# Change-36.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$15,058,931	% Position3.00%	$ Change-2.00%	# Change-3.00%
Stck Ticker46625H100	Stock NameJPMORGAN CHASE & CO.	$ Position$17,737,821	% Position3.00%	$ Change4.00%	# Change4.00%
Stck Ticker457187102	Stock NameINGREDION INC	$ Position$9,642,268	% Position2.00%	$ Change-4.00%	# Change5.00%
Stck Ticker14448C104	Stock NameCARRIER GLOBAL CORPORATION	$ Position$8,100,687	% Position2.00%	$ Change-24.00%	# Change-15.00%
Stck Ticker060505104	Stock NameBANK AMERICA CORP	$ Position$9,577,628	% Position2.00%	$ Change-5.00%	# Change0.00%
Stck Ticker67066G104	Stock NameNVIDIA CORPORATION	$ Position$12,509,785	% Position2.00%	$ Change-8.00%	# Change0.00%

Brochure Summary

Overview

AWCI has been providing investment advisory services since December 1997. AWCI is wholly owned by Alpine Saxon Woods, LLC. AWCI’s day-to-day operations are managed by AWCI’s management team, Arleen Baez, Brian Hennessey, Sarah Hunt, and Mark Spellman. Each member of the management team is a member of Alpine Saxon Woods, LLC and a principal owner of AWCI. AWCI provides investment advisory services to three pooled investment vehicles (“Private Funds,” and individually, a “Private Fund”). These Private Funds are exempt from the definition of “investment company” pursuant to Section 3(c)(1) of the Investment Company Act of 1940 (the “1940 Act”). AWCI is an active manager of equities strategies.

Information regarding the advisory services offered by AWCI (including investment styles, strategies and risks) is described in greater detail in each Private Fund’s offering materials. In the past AWCI has provided, and may in the future provide, portfolio management services to unaffiliated institutional accounts. AWCI would offer portfolio management services to these unaffiliated accounts based on particular mandates. As of December 31, 2023, AWCI does not participate in any wrap fee programs. As of December 31, 2023, AWCI manages approximately $390.3million of client assets on a discretionary basis. As of the same date, AWCI does not manage any client assets on a non-discretionary basis.

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ALPINE WOODS CAPITAL INVESTORS, LLC

Adviser Profile

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