9AT: DISCIPLINED ALPHA LLC

other names

DISCIPLINED ALPHA LLC
DISCIPLINED ALPHA GP LLC

Adviser Profile

As of Date	03/28/2025
ADV Location	BOSTON, MA, United States
Adviser Type - An investment adviser (or subadviser) to an investment company
Number of Employees	3
of those in investment advisory functions	3
Registration	SEC, Approved, 04/11/2013

AUM^*	33,635,061 15%
of that, discretionary	33,635,061 15%
Private Fund GAV^*	3,156,685 -87%
Avg Account Size	11,211,687 91%
SMA’s	Yes
Private Funds	2 2
Contact Info	857 xxxxxxx
Websites

Client Types

- Investment companies
- Pooled investment vehicles
- Other

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$3,156,685

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 TRIVEST ADVISORS	Hedge Fund4.0b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund173.0m	Total Private Fund GAV4.2b	AUM-	#Funds11
Adviser CRESCENT PARK MANAGEMENT, L.P.	Hedge Fund351.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV351.3m	AUM351.5m	#Funds8
Adviser MILLBURN RIDGEFIELD LLC	Hedge Fund286.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund33.0m	Total Private Fund GAV319.8m	AUM9.0b	#Funds8
Adviser SIT FIXED INCOME ADVISORS II, LLC	Hedge Fund719.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund311.3m	Total Private Fund GAV1.0b	AUM12.9b	#Funds20
Adviser RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED	Hedge Fund1.1b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund28.9m	Total Private Fund GAV1.1b	AUM137.8b	#Funds21
Adviser PANAGORA ASSET MANAGEMENT INC	Hedge Fund7.4b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV7.4b	AUM33.2b	#Funds20
Adviser ASPECT CAPITAL LIMITED	Hedge Fund2.9b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund536.8m	Total Private Fund GAV3.4b	AUM3.5b	#Funds12
Adviser PLUSCIOS MANAGEMENT LLC	Hedge Fund386.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund1.1m	Total Private Fund GAV387.5m	AUM246.4m	#Funds6
Adviser LOS ANGELES CAPITAL MANAGEMENT LLC	Hedge Fund2.5b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund73.7m	Total Private Fund GAV2.6b	AUM31.3b	#Funds7
Adviser GREYWOLF CAPITAL MANAGEMENT LP	Hedge Fund628.7m	Liquidity Fund-	Private Equity Fund74.2m	Real Estate Fund-	Securitized Asset Fund2.5b	Venture Capital Fund-	Other Fund-	Total Private Fund GAV3.2b	AUM3.5b	#Funds51

Brochure Summary

Overview

Disciplined Alpha LLC (“Disciplined Alpha” or the “Firm”) is a Massachusetts limited liability company formed on February 22, 2013, with its principal place of business in Boston, MA. Kevin Shea is the founder, managing member and sole owner of Disciplined Alpha. Disciplined Alpha provides discretionary investment advisory services as (i) the investment manager to private pooled investment vehicles (“Private Funds”) and a separately managed account (“SMA”), and (ii) as a sub-adviser to an Irish domiciled UCITS (“UCITS”) and the sole sub-investment adviser of Harbor Long-Short Equity ETF (NYSE ticker “LSEQ”), herein referred to as “LSEQ”. (collectively, the “Clients”). Currently the Firm manages two strategies. A Regime Based U.S. Long Short Diversified Strategy. The objective is to utilize Disciplined Alpha’s macroeconomic regime model to maximize the risk adjusted return, as defined by the Sortino Ratio, by investing

in a broad universe of stocks in the U.S. Russell 1000. During periods of time that are shorter than a full market cycle, the strategy seeks to outperform 60% of the return of the Russell 1000. The HFRX Equity Hedge Peer Group, or the HFRX Equal Weighted Strategies Peer Group, could also be used for performance analysis. A Regime Based Multi-Asset Class Strategy. The object is to utilize Disciplined Alpha’s macroeconomic regime model to maximize the risk adjusted return, as defined by the Sortino Ratio, by investing in various asset classes primarily through ETFs. At the current time, Disciplined Alpha does not expect to tailor its investment advisory services to the individual needs of Clients. Disciplined Alpha does not participate in any wrap fee programs. As of December 31, 2023, Disciplined Alpha’s regulatory assets under management were $28,672,984, all of which are managed on a discretionary basis.

DISCIPLINED ALPHA LLC

Adviser Profile

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