9AT: LION EQUITY INVESTMENT ADVISORS, LLC

other names

LION EQUITY INVESTMENT ADVISORS, LLC

Adviser Profile

As of Date	03/17/2025
Adviser Type - Large advisory firm
Number of Employees	11 22.22%
of those in investment advisory functions	11 22.22%
Registration	SEC, Approved, 07/10/2023
Other registrations (5)	SEC, ERA - Withdrawn, 06/09/2023 Colorado, ERA - Withdrawn, 06/09/2023 SEC, ERA - Active, 03/29/2019 Colorado, ERA - Active, 08/16/2017 Colorado, Terminated, 08/01/2017
Former registrations	LION EQUITY INVESTMENT ADVISORS, LLC

AUM^*	199,768,624 -8.27%
of that, discretionary	199,768,624 -8.27%
Private Fund GAV^*	199,768,624 -10.04%
Avg Account Size	66,589,541 22.30%
SMA’s	No
Private Funds	3 1
Contact Info	303 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	Count3	GAV$199,768,624

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 RECURRING CAPITAL MANAGEMENT COMPANY, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund193.6m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV193.6m	AUM193.6m	#Funds10
Adviser ONE THOUSAND & ONE VOICES MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM158.3m	#Funds-
Adviser SUMMIT HOUSE CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund101.1m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV101.1m	AUM381.8m	#Funds3
Adviser BRICKELL KEY ASSET MANAGEMENT LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund130.0m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV130.0m	AUM130.0m	#Funds1
Adviser CITY DIFFERENT INVESTMENTS	Hedge Fund-	Liquidity Fund-	Private Equity Fund10.4m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund13.1m	Total Private Fund GAV23.5m	AUM265.8m	#Funds4
Adviser MGM INNOVA CAP MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund134.3m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV134.3m	AUM129.1m	#Funds4
Adviser GREY ROCK MANAGEMENT PARTNERS IV, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund703.3m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV703.3m	AUM703.4m	#Funds10
Adviser FS TACTICAL ADVISOR, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund294.2m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV294.2m	AUM294.2m	#Funds1
Adviser TRENT CAPITAL MANAGEMENT INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM140.9m	#Funds-
Adviser BH CREDIT MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund1.2b	Venture Capital Fund-	Other Fund113.2m	Total Private Fund GAV1.3b	AUM1.2b	#Funds4

Brochure Summary

Overview

Lion Equity Investment Advisors, LLC (“Lion Equity” or the “Firm”) is a Delaware limited liability company founded in 2016 and principally owned by Edward James (“Jim”) Levitas and Ari J. Silverman. Lion Equity’s principal place of business is located in Denver, Colorado. Lion Equity is an operations-focused value investor specializing in corporate divestitures and special situations in the lower middle market. The Firm’s investment advisory services include identifying and evaluating investment opportunities, negotiating the terms of investments, managing and monitoring investments, and selling portfolio investments. Lion Equity leverages its strategic, financial, and operational expertise to build businesses to create long-term value for all stakeholders. The Firm plans to make investments in a number of industries, including, but not limited to, business services, logistics and distribution, information technology, mature software, and light manufacturing. Lion Equity’s portfolio investments are headquartered in the United States, Mexico or Canada and may have operations throughout the world. Lion Equity provides investment advisory

services to pooled investment vehicles (each a “Fund,” and collectively, the “Funds”). The Firm manages each of its Funds within the guidelines and restrictions set forth in each Fund’s offering documents and within regulatory guidelines and limitations. The Funds are expected to generally seek to rely on an exemption from registration under the Investment Company Act of 1940, as amended (the “Investment Company Act”) and their securities will not be registered under the Securities Act of 1933, as amended (the “Securities Act”). Lion Equity provides discretionary investment management services to the Funds in accordance with the applicable limited liability company operating agreement, limited partnership agreement, management agreement, subscription agreement, and side letters of each Fund (each, an “Advisory Agreement”). The Advisory Agreements of a Fund, along with any private placement memoranda and related materials are referred to herein collectively as the “Offering Documents” of such Fund. Assets Under Management As of December 31, 2023, Lion Equity manages $222,060,762 of regulatory assets on a discretionary basis.

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LION EQUITY INVESTMENT ADVISORS, LLC

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Brochure Summary

Overview