9AT: RENAISSANCE CAPITAL LLC

RENAISSANCE CAPITAL LLC

other names

Revenue	{{ Info.Revenue \| formatUSD }}
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Adviser Profile

As of Date	03/13/2025
Adviser Type - An investment adviser (or subadviser) to an investment company
Number of Employees	16 -5.88%
of those in investment advisory functions	16 -5.88%
Registration	SEC, Approved, 08/18/1994

AUM^*	157,000,000 14.43%
of that, discretionary	157,000,000 14.43%
Private Fund GAV^*	0
Avg Account Size	78,500,000 14.43%
SMA’s	No
Private Funds	0
Contact Info	203 xxxxxxx
Websites

Client Types

- Investment companies

Advisory Activities

- Portfolio management for investment companies

Compensation Arrangments

- A percentage of assets under your management
- Subscription fees (for a newsletter or periodical)
- Fixed fees (other than subscription fees)

Reported AUM

773M 663M 552M 442M 331M 221M 110M

2015 2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker49177J102	Stock NameKENVUE INC	$ Position$13,930,222	% Position11.00%	$ Change-10.00%	# Change-20.00%
Stck Ticker21871X109	Stock NameCOREBRIDGE FINANCIAL INC	$ Position$12,932,935	% Position10.00%	$ Change83.00%	# Change74.00%
Stck Ticker042068205	Stock NameARM HOLDINGS PLC	$ Position$11,997,857	% Position9.00%	$ Change-8.00%	# Change6.00%
Stck Ticker04626A103	Stock NameASTERA LABS INC	$ Position$8,689,205	% Position7.00%	$ Change-43.00%	# Change27.00%
Stck Ticker565394103	Stock NameMAPLEBEAR INC	$ Position$7,102,933	% Position5.00%	$ Change12.00%	# Change16.00%
Stck Ticker65290E101	Stock NameNEXTRACKER INC	$ Position$6,371,610	% Position5.00%	$ Change9.00%	# Change-5.00%
Stck Ticker148929102	Stock NameCAVA GROUP INC	$ Position$6,649,941	% Position5.00%	$ Change-23.00%	# Change1.00%
Stck Ticker88023B103	Stock NameTEMPUS AI INC	$ Position$5,450,831	% Position4.00%	$ Change552.00%	# Change356.00%
Stck TickerG93A5A101	Stock NameVIKING HOLDINGS LTD	$ Position$4,914,253	% Position4.00%	$ Change-8.00%	# Change2.00%
Stck Ticker53566V106	Stock NameLINEAGE INC	$ Position$4,656,981	% Position4.00%	$ Change-5.00%	# Change-5.00%

Brochure Summary

Overview

Renaissance Capital was formed in 1991. The Firm specializes in providing global IPO-focused investment services. These services include providing pre-IPO research and data analytics and advising IPO-focused funds. Renaissance Capital is a privately held Limited Liability Company. The following two members each own more than 25%: Kathleen Shelton Smith, Chairman and William K. Smith, Chief Executive Officer. The Firm is an Adviser to Renaissance Capital Greenwich Funds (the “Trust”) registered under the Investment Company Act of 1940. The Trust currently consists of two exchange traded funds (“ETFs”), the Renaissance IPO ETF and the Renaissance International IPO ETF (each a “Fund” and collectively the “Funds”). The Firm has no publicly held intermediate subsidiaries. Renaissance Capital specializes in providing investment advisory services focused on newly public companies, the most inefficient class of public equities. These unseasoned equities are under- researched, lack trading history, have untested corporate governance, and lack an established shareholder base, requiring specialized investment skills to access investment performance. The Firm provides

IPO Intelligence, a pre-IPO research and IPO market analytics service, to institutional investors, including mutual funds, hedge funds, asset managers, pension plans, underwriters, and advisory firms. The Firm also provides IPO Pro, an IPO tracking service for investors, advisors, and professionals. The Firm’s IPO-focused investment strategies are available to the public through 40- Act funds. The Firm also offers separately managed accounts to institutional investors. The Renaissance IPO ETF (ticker: IPO), an exchange traded series of the Trust, tracks an index which holds a portfolio of the largest most liquid companies that have recently gone public in U.S. markets. The Renaissance International IPO ETF (ticker: IPOS), an exchange traded series of the Trust, tracks an index which holds a portfolio of the largest most liquid companies that have recently gone public in non-U.S. markets. Renaissance Capital does not participate in wrap fee programs. Renaissance Capital only manages client assets on a discretionary basis. As of December 31, 2023, the Firm had assets under management of $209 million over which it had discretionary investment authority.