9AT: CONCINNITY ADVISORS, LP

Adviser Profile

As of Date	11/03/2024
Registration status	Terminated
ADV Location	IRVINGTON, NY, United States
Contact Info	914 xxxxxxx
Websites

AUM^*	203,274,556
of that, discretionary	203,274,556
Number of Employees	4 33%
of those in investment advisory functions	4 33%
Private Fund GAV^*	0
Avg Account Size	101,637,278
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Investment companies
- Other

Advisory Activities

- Portfolio management for investment companies

Compensation Arrangments

- A percentage of assets under your management

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 VCC ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM956.8m	#Funds-
Adviser SOVEREIGN INVESTMENT ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.3b	#Funds-
Adviser XYPN INVEST	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM881.5m	#Funds-
Adviser PUTNAM INVESTMENT MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM117.2b	#Funds-
Adviser LINCOLN ADVISORY GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.2b	#Funds-
Adviser ATALANTA SOSNOFF CAPITAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM5.0b	#Funds-
Adviser PRINCETON FUND ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM780.0m	#Funds-
Adviser LEUTHOLD WEEDEN CAPITAL MANAGEMENT	Hedge Fund41.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV41.6m	AUM1.2b	#Funds1
Adviser ACUITAS INVESTMENTS, LLC	Hedge Fund790.8k	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund4.0m	Total Private Fund GAV4.8m	AUM1.5b	#Funds2
Adviser CHANNING 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-	AUM4.2b	#Funds-

Brochure Summary

Overview

A. Firm Description; Principal Owners Concinnity Advisors, LP (the “Advisor”), a Delaware limited partnership, was established in July of 2011 and commenced operations on August 31, 2011, The Advisor provides investment advisory services on a discretionary basis as a sub-advisor to Guggenheim Partners Investment Management, LLC (“GPIM”). The Advisor also provides investment advice to a separately managed account (“SMA”). The principal owners of the Advisor are Peter Derby, Richard J. Frazier, Jr., and 3D Trust (Peter Derby’s family trust). B. Types of Advisory Services Concinnity Advisors, LP offers investment advisory services to institutional investors, such as mutual funds and other organizations, and also licenses its indices to other investment advisers who may use it to benchmark an index strategy or otherwise inform investment decisions. Concinnity Advisors, LP serves as investment sub-adviser to a mutual fund, the Guggenheim Capital Stewardship Fund (“GCSF” or the “Fund”), subject to an agreement with the Fund’s primary adviser, Guggenheim Partners Investment Management,

LLC (“GPIM”). The Advisor also maintains a separately managed account (“SMA”) managed for a related entity. The Advisor also has licensed its Concinnity Conscious Companies Index to Global X Management Company, LLC. C. Services Tailored to Individual Client Needs Investments made for mutual fund clients are subject to the investment objectives and risk and investment constraints of the fund, as laid out in the Fund’s prospectus, and are not tailored to individual investors in the fund. Separateaccountadvisoryservicesaredevelopedinconsultationwitheachclient andaretailoredtotheirspecificinvestmentobjectives,risktolerance,andother guidelines. Separate account clients may impose restrictions on investing in certain securities or types of securities where requested in writing. D. Wrap Fee Program Participation Concinnity Advisors, LP does not participate in a wrap fee program. E. Assets Under Management The aggregate assets managed by the Advisor, as of December 31, 2023, is approximately $203,274,556. The Advisor manages assets only on a discretionary basis.

CONCINNITY ADVISORS, LP

CONCINNITY ADVISORS, LP

Adviser Profile

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Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

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CONCINNITY ADVISORS, LP CONCINNITY ADVISORS, LP

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

CONCINNITY ADVISORS, LP

CONCINNITY ADVISORS, LP