9AT: ASCRIBE CAPITAL LLC

other names

Adviser Profile

As of Date	03/29/2024
Adviser Type - Large advisory firm
Number of Employees	12 33.33%
of those in investment advisory functions	4 -20.00%
Registration	SEC, Approved, 04/01/2013

AUM^*	1,087,806,747 -2.39%
of that, discretionary	1,087,806,747 -2.39%
Private Fund GAV^*	1,077,771,826 1.08%
Avg Account Size	135,975,843 -2.39%
SMA’s	No
Private Funds	5
Contact Info	212 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

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

Fund Type	Count	GAV
Fund TypePrivate Equity Fund	Count5	GAV$1,077,771,826

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 NEW STATE CAPITAL PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund775.8m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV775.8m	AUM1.2b	#Funds12
Adviser KEYHAVEN CAPITAL PARTNERS LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.1b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.1b	AUM1.1b	#Funds16
Adviser PHAROS CAPITAL GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.1b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.1b	AUM1.1b	#Funds6
Adviser GREY ROCK ENERGY MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund397.7m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV397.7m	AUM397.7m	#Funds6
Adviser CENTRE PARTNERS MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.0b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.0b	AUM1.3b	#Funds8
Adviser PENINSULA CAPITAL PARTNERS, L.L.C.	Hedge Fund-	Liquidity Fund-	Private Equity Fund848.0m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV848.0m	AUM848.0m	#Funds3
Adviser CIVC PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund2.3b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.3b	AUM2.3b	#Funds16
Adviser POST ROAD GROUP LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.0b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.0b	AUM1.5b	#Funds9
Adviser PATRIOT FINANCIAL MANAGER, L.P.	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.0b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.0b	AUM1.0b	#Funds5
Adviser ANDROS CAPITAL PARTNERS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.2b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.2b	AUM1.2b	#Funds4

Brochure Summary

Overview

ASBG, a Delaware limited liability company, serves as an investment manager to related private investment vehicles listed below in Item 10 (the “ASBG Funds”) organized primarily to invest in a broad range of stressed and distressed securities, securities trading at stressed or distressed valuations and securities of companies which are distressed or undergoing operational, financial or other stress, which offer an attractive risk adjusted rate of return. The ASBG Funds may invest in debt or equity securities that ASBG believes are trading at significant discounts to their intrinsic values. As of December 31, 2023, the ASBG Funds had $1,087,806,747 in aggregate capital commitments and assets managed on a discretionary basis by ASBG.1 ASBG Management LLC (formerly known as American Securities Opportunities Advisors, LLC) (“ASBG Management”) the predecessor to ASBG, was founded in 2006 by Anthony Grillo and American Securities LLC (“American Securities”), an investment manager to private investment vehicles that specializes in private equity and related investments. ASBG was a wholly-owned subsidiary of American Securities until June 30, 2021, when American Securities engaged in a business combination (“ASBG Transaction”) with Birch Grove Capital LP (dba AS Birch Grove, “Birch Grove”). Upon the consummation of the ASBG Transaction,

ASBG came under common control indirectly between American Securities and Birch Grove. Further information regarding the ownership of ASBG and ASBG Management is provided in Schedules A and B of their respective Form ADV, Part 1A filings. The principal owner of American Securities is Michael G. Fisch, either directly or through his affiliates. Investment advice is provided directly to each ASBG Fund and not individually to the limited partners or investors in the ASBG Funds. The Company has discretion to commit the ASBG Funds to invest in a variety of investment instruments consistent with the respective investment programs of each ASBG Fund. ASBG provides, either directly or through its related entities, investment advice to the ASBG Funds regarding debt and equity securities and other assets with a range of liquidity profiles. The ASBG Funds may make controlling or non-controlling investments. For non-controlling investments ASBG’s investment professionals nevertheless may work with an issuer’s management. The terms by which ASBG provides investment advice to the ASBG Funds are described in each ASBG Fund’s governing documents, which may include a confidential offering memorandum, an investment management agreement, and a limited partnership agreement, among other things. ASBG does not manage any assets on a non-discretionary basis or participate in any wrap fee programs.

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ASCRIBE CAPITAL LLC

Adviser Profile

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