9AT: HARVEST GLOBAL INVESTMENTS LIMITED

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 06/22/2011
ADV Location	HONG KONG, Hong Kong
Contact Info	852 xxxxxxx
Websites

AUM^*	3,794,257,608 -11%
of that, discretionary	3,794,257,608 -11%
Number of Employees	32 10%
of those in investment advisory functions	18 80%
Private Fund GAV^*	0
Avg Account Size	145,932,985 -21%
SMA’s	Yes
Private Funds	0

Adviser Type

- Outside the United States
- An investment adviser (or subadviser) to an investment company

Client Types

- Investment companies
- Pooled investment vehicles
- Other investment advisers
- Corporations or other businesses not listed above

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

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 DYNAMIC BETA INVESTMENTS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM5.7b	#Funds-
Adviser MEAG NEW YORK CORPORATION	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM44.9b	#Funds-
Adviser PIER CAPITAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund40.5m	Total Private Fund GAV40.5m	AUM647.7m	#Funds1
Adviser SAGARD HOLDINGS MANAGER (US) LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund73.2m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV73.2m	AUM1.4b	#Funds4
Adviser CORNERSTONE INVESTMENT PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.7b	#Funds-
Adviser MARIANA INVESTMENT PARTNERS LLP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM137.1m	#Funds-
Adviser SYMETRA INVESTMENT MANAGEMENT COMPANY	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund411.4m	Venture Capital Fund-	Other Fund-	Total Private Fund GAV411.4m	AUM88.8b	#Funds1
Adviser GLACIER PEAK CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM9.9b	#Funds-
Adviser JASPER CAPITAL HONG KONG LIMITED	Hedge Fund16.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV16.5m	AUM118.5m	#Funds1
Adviser RANGER GLOBAL REAL ESTATE ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.3b	#Funds-

Brochure Summary

Overview

A. Description of the Advisory Firm Incorporated in September 2008 in Hong Kong, HGI is a wholly-owned subsidiary of Harvest Fund Management Co., Ltd (“HFM”). HGI has been registered with the SFC in Hong Kong pursuant to the Hong Kong Securities and Futures Ordinance to conduct the regulated activities of 1) advising on securities (Type 4) and asset management (Type 9) since February 2009, and 2) dealing in securities (Type 1) since November 2010. Our parent company was incorporated in 1999 and is a significant investment firm headquartered in Beijing, China. The owners of HFM are China Credit Trust Co., Ltd, Lixin Investment Co., Ltd and DWS Investments Singapore Limited. More information is available in our Form ADV Part 1. We provide discretionary portfolio management services to our clients, sometimes with the assistance of HFM, serving as the investment adviser to pooled investment vehicles (“funds”) sponsored by other financial firms. We also provide investment advisory services on behalf of sophisticated institutional investors to separately managed accounts. We categorize our services as Fund Advisory and Separate Accounts. We may in future provide portfolio management services to funds sponsored by HFM and may serve certain high net worth individuals. While client investment mandates vary, our investment focus is largely on Asia, in certain cases predominantly

on China, with limited amounts of investment in other markets. We may invest client assets across a range of investment classes, but, generally, investment focuses on equity and fixed income securities. We may also invest in derivative instruments, most often for hedging and portfolio management purposes. More information on the strategies we utilize, and the risks often associated with them, can be found in Item 8. Clients or investors should also consult the relevant offering document or investment supervisory agreement for a more complete discussion of risks and investment strategies. In each case, we will provide services to our clients according to an executed Investment Management Agreement detailing client-imposed investment guidelines and, if applicable, restrictions. Following a federal court order issued on June 17, 2020 and relating to certain regulatory settlements entered into by an affiliate outside of the Harvest Group, HGI relies on an order issued by the Securities and Exchange Commission under the Investment Company Act of 1940, as amended (“ICA”) on October 20, 2020, permitting it to continue to provide investment advisory services to investment companies registered under the ICA. Client Assets As of December 31, 2023, we manage the following assets: Discretionary Assets (US$'000) US$ 3,459,367 Non-discretionary Assets (US$'000) US$ 0 Total US$ 3,459,367

HARVEST GLOBAL INVESTMENTS LIMITED

HARVEST GLOBAL INVESTMENTS LIMITED

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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HARVEST GLOBAL INVESTMENTS LIMITED HARVEST GLOBAL INVESTMENTS LIMITED

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

HARVEST GLOBAL INVESTMENTS LIMITED

HARVEST GLOBAL INVESTMENTS LIMITED