9AT: POINT BREAK CAPITAL MANAGEMENT LLC

other names

Adviser Profile

As of Date	03/28/2024
Adviser Type - Large advisory firm
Number of Employees	11 10.00%
of those in investment advisory functions	11 10.00%
Registration	SEC, Approved, 07/10/2012

AUM^*	1,597,462,890 -14.52%
of that, discretionary	1,597,462,890 -14.52%
Private Fund GAV^*	1,597,462,890 -14.52%
Avg Account Size	1,597,462,890 -14.52%
SMA’s	No
Private Funds	1
Contact Info	786 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

- Fixed fees (other than subscription fees)

Fund Type	Count	GAV
Fund TypeHedge Fund	Count1	GAV$1,597,462,890

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 GREENSLEDGE ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.0b	#Funds-
Adviser ADVANCED PORTFOLIO MANAGEMENT, LLC	Hedge Fund96.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV96.8m	AUM2.1b	#Funds1
Adviser RAM ACTIVE INVESTMENTS S.A.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.6b	#Funds-
Adviser AVENTAIL CAPITAL GROUP, LP	Hedge Fund1.3b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.3b	AUM1.8b	#Funds2
Adviser POLITAN CAPITAL MANAGEMENT	Hedge Fund1.8b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.8b	AUM2.0b	#Funds1
Adviser ANSON FUNDS MANAGEMENT LP	Hedge Fund2.5b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.5b	AUM2.5b	#Funds7
Adviser 36 SOUTH CAPITAL ADVISORS LLP	Hedge Fund674.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV674.8m	AUM1.2b	#Funds5
Adviser WINSTON CAPITAL MANAGEMENT LLC	Hedge Fund1.1b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.1b	AUM1.1b	#Funds5
Adviser HEIN PARK CAPITAL MANAGEMENT LP	Hedge Fund2.3b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.3b	AUM2.3b	#Funds2
Adviser BROAD BAY CAPITAL MANAGEMENT LP	Hedge Fund1.8b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.8b	AUM1.8b	#Funds1

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker12769G100	Stock NameCAESARS ENTERTAINMENT INC NE	$ Position$48,519,679	% Position53.00%	$ Change-5.00%	# Change4.00%
Stck Ticker02079K305	Stock NameALPHABET INC	$ Position$6,220,423	% Position7.00%	$ Change122.00%	# Change84.00%
Stck Ticker023135106	Stock NameAMAZON COM INC	$ Position$5,221,035	% Position6.00%	$ Change59.00%	# Change49.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$5,765,655	% Position6.00%	$ Change	# Change
Stck Ticker532457108	Stock NameELI LILLY & CO	$ Position$3,984,577	% Position4.00%	$ Change113.00%	# Change83.00%
Stck Ticker30303M102	Stock NameMETA PLATFORMS INC	$ Position$3,443,823	% Position4.00%	$ Change39.00%	# Change34.00%
Stck Ticker82452J109	Stock NameSHIFT4 PMTS INC	$ Position$2,852,582	% Position3.00%	$ Change	# Change
Stck TickerH42097107	Stock NameUBS GROUP AG	$ Position$3,040,464	% Position3.00%	$ Change18.00%	# Change23.00%
Stck TickerN07059210	Stock NameASML HOLDING N V	$ Position$2,832,962	% Position3.00%	$ Change	# Change
Stck Ticker46434G822	Stock NameISHARES INC	$ Position$2,827,524	% Position3.00%	$ Change-39.00%	# Change-36.00%

Brochure Summary

Overview

Adviser’s Advisory Business Point Break provides discretionary investment management services to Point Break Capital L.P., a Cayman Islands exempted limited partnership (the “Partnership”, the “Client” or the “Fund”), the limited partners of which are a small group of high net-worth individuals and sophisticated investors. Point Break was established in February 2012 and is owned by Alexandre Pérez. The Partnership is currently the only client of Point Break. Mr. Pérez is also a minority shareholder of the Partnership’s general partner, Point Break Capital GP Ltd (the “General Partner”). Types of Advisory Services Point Break manages investments for the Partnership on a discretionary basis and seeks to achieve absolute returns by managing and executing its own investment strategies. Point Break typically invests the Partnership’s assets in equities and fixed income securities, including emerging market sovereign and corporate bonds. From time to time,

it expresses macroeconomic views through interest rates, foreign exchange and credit derivatives. Public and private equity and equity-linked products are also used in the portfolio. There is no assurance that the investment decisions made by Point Break will generate positive returns for the Partnership. Point Break may significantly change its investment strategy without seeking the prior consent of the Partnership or its General Partner. Investment Restrictions The Partnership may impose restrictions on investments in certain securities or types of securities. Point Break retains the right to terminate any investment management agreement if it believes that the investment restrictions requested are inconsistent with Point Break’s investment strategy and methodology. Assets under Management Point Break manages client assets on a discretionary basis only and had approximately $1,597,463,000.00 of regulatory assets under management as of December 31, 2023.

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POINT BREAK CAPITAL MANAGEMENT LLC

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