9AT: USCA ASSET MANAGEMENT LLC

other names

Adviser Profile

As of Date	03/26/2024
Adviser Type - Large advisory firm
Number of Employees	6 -33.33%
of those in investment advisory functions	5 -37.50%
Registration	SEC, Approved, 11/18/2005

AUM^*	232,754,612 -9.86%
of that, discretionary	232,754,612 -9.86%
Private Fund GAV^*	153,932,028 3.34%
Avg Account Size	8,952,100 -13.33%
SMA’s	No
Private Funds	24 1
Contact Info	713 xxxxxxx
Websites

Client Types

- Investment companies
- Pooled investment vehicles

Advisory Activities

- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles

Compensation Arrangments

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

Fund Type	Count	GAV
Fund TypeHedge Fund	Count2	GAV$94,851,436
Fund TypeVenture Capital Fund	Count22	GAV$59,080,592

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 DISTRIBUTED GLOBAL MANAGER LP	Hedge Fund335.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund1.0b	Other Fund-	Total Private Fund GAV2.4b	AUM1.6b	#Funds12
Adviser MIRAE ASSET GLOBAL INVESTMENTS (USA) LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund843.1m	Other Fund-	Total Private Fund GAV1.7b	AUM4.2b	#Funds14
Adviser ELECTRIC CAPITAL PARTNERS, LLC	Hedge Fund173.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund1.7b	Other Fund-	Total Private Fund GAV3.5b	AUM1.8b	#Funds13
Adviser ANGELENO GROUP, LLC	Hedge Fund87.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund455.6m	Other Fund-	Total Private Fund GAV999.2m	AUM543.6m	#Funds9
Adviser ATREIDES MANAGEMENT, LP	Hedge Fund3.9b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund462.3m	Other Fund-	Total Private Fund GAV4.8b	AUM4.7b	#Funds17
Adviser SEQUOIA CAPITAL OPERATIONS, LLC	Hedge Fund17.6b	Liquidity Fund-	Private Equity Fund1.4b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund37.3b	Other Fund-	Total Private Fund GAV93.6b	AUM56.3b	#Funds65
Adviser RIBBIT CAPITAL	Hedge Fund1.0b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund11.3b	Other Fund-	Total Private Fund GAV23.6b	AUM12.3b	#Funds63
Adviser ALTIMETER CAPITAL MANAGEMENT, LP	Hedge Fund6.2b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund4.5b	Other Fund-	Total Private Fund GAV15.2b	AUM10.7b	#Funds19
Adviser BIOS CAPITAL MANAGEMENT, LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund20.5m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund257.0m	Other Fund-	Total Private Fund GAV534.6m	AUM277.6m	#Funds25
Adviser MISSIONPOINT PARTNERS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund138.0k	Other Fund-	Total Private Fund GAV276.0k	AUM264.7m	#Funds1

Brochure Summary

Overview

USCA Asset Management LLC (“USCA”) was formed in 2008 under the laws of the State of Texas. USCA was acquired by U.S. Capital Advisors, LLC (“US Capital”) on October 1, 2013. US Capital is a Houston-based financial services firm, substantially owned by its employees. More information on US Capital can be found at www.uscallc.com . USCA manages the USCA All Terrain Fund (“ATF”), a closed-end mutual fund registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”). USCA also manages USCA Absolute Return Strategies, L.P. (“ARS”) and HRG Appreciation Fund, L.P (“HRG”), each a private, unregistered fund, and has created a series of private, unregistered funds (referred to herein as the “Futurum Funds”), each of which is dedicated to investing in specified venture capital funds (collectively, the “USCA Funds”). ARS, ATF and Futurum Funds pursue their investment objectives through investments in other unaffiliated funds or with other unaffiliated advisers,

while HRG pursues its investment objectives through investments in publicly traded securities directly, in each case as more fully described below. Each USCA Fund is USCA's client and advice is not tailored for investors in any USCA Fund. As of December 31, 2023, USCA advised on approximately $232 million in assets. Additionally, USCA has entered into a contractual agreement with an affiliated investment advisor, 13Capital LLC (“13Capital”), to provide investment advisory services to 13Capital Energy Transition Fund I (“13Capital Fund”). In this role, certain USCA supervised persons will assist in the evaluation of portfolio holdings and allocations within the 13Capital Fund. Additionally, USCA supervised persons will assist in due diligence and other advisory services to 13Capital. Throughout this Brochure we disclose several conflicts of interest and provide summaries of a number of our policies and procedures designed to detect and address these conflicts and others. In addition, conflicts of interest and specific risks related to a USCA Fund are identified in the offering materials for that fund.

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USCA ASSET MANAGEMENT LLC

Adviser Profile

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Compensation Arrangments

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Brochure Summary

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