9AT: ECOR1 CAPITAL, LLC

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 07/02/2015
Other registrations (2)	SEC, ERA - Withdrawn, 06/29/2015 California, ERA - Withdrawn, 06/29/2015
ADV Location	SAN FRANCISCO, CA, United States
Contact Info	415 xxxxxxx
Websites

AUM^*	3,424,668,843 -32%
of that, discretionary	3,424,668,843 -32%
Number of Employees	22 5%
of those in investment advisory functions	9 13%
Private Fund GAV^*	3,424,668,843 -13%
Avg Account Size	684,933,769 -32%
SMA’s	No
Private Funds	5

Adviser Type

- Large advisory firm

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

	Count	GAV
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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 SAGE MOUNTAIN ADVISORS, LLC	Hedge Fund24.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund6.4m	Other Fund-	Total Private Fund GAV37.4m	AUM4.3b	#Funds3
Adviser GLOBAL FRONTIER INVESTMENTS, LLC	Hedge Fund30.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund74.0m	Other Fund-	Total Private Fund GAV178.1m	AUM682.0m	#Funds3
Adviser LIVIAN & CO.	Hedge Fund4.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund431.0k	Other Fund-	Total Private Fund GAV5.4m	AUM152.9m	#Funds3
Adviser MIG CAPITAL, LLC	Hedge Fund589.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV589.5m	AUM589.5m	#Funds3
Adviser CORAL 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-	AUM-	#Funds-
Adviser ZILKHA INVESTMENTS, L.P.	Hedge Fund65.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund2.5m	Other Fund-	Total Private Fund GAV70.6m	AUM-	#Funds3
Adviser PANTERA CAPITAL	Hedge Fund3.8b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund794.9m	Other Fund-	Total Private Fund GAV5.4b	AUM4.0b	#Funds43
Adviser ARCA INVESTMENT MANAGEMENT, LLC	Hedge Fund223.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund65.2m	Other Fund-	Total Private Fund GAV354.0m	AUM188.1m	#Funds11
Adviser MIO PARTNERS, INC.	Hedge Fund27.8b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund156.0m	Other Fund-	Total Private Fund GAV28.1b	AUM59.6b	#Funds15
Adviser AWM INVESTMENT COMPANY INC	Hedge Fund1.3b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund8.3m	Other Fund-	Total Private Fund GAV1.3b	AUM1.3b	#Funds9

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker98985Y108	Stock NameZYMEWORKS INC	$ Position$600,445,942	% Position29.00%	$ Change4.00%	# Change0.00%
Stck Ticker032724106	Stock NameANAPTYSBIO INC	$ Position$531,906,345	% Position26.00%	$ Change22.00%	# Change0.00%
Stck Ticker01021M104	Stock NameAKTIS ONCOLOGY INC	$ Position$155,492,636	% Position8.00%	$ Change80.00%	# Change0.00%
Stck Ticker156944100	Stock NameCG ONCOLOGY INC	$ Position$106,170,015	% Position5.00%	$ Change42.00%	# Change36.00%
Stck TickerH17182108	Stock NameCRISPR THERAPEUTICS AG	$ Position$75,771,113	% Position4.00%	$ Change15.00%	# Change0.00%
Stck Ticker29772L108	Stock NameETON PHARMACEUTICALS INC	$ Position$78,624,156	% Position4.00%	$ Change47.00%	# Change0.00%
Stck Ticker68622P109	Stock NameORIC PHARMACEUTICALS INC	$ Position$72,865,496	% Position4.00%	$ Change-15.00%	# Change0.00%
Stck Ticker337185102	Stock NameFIRST TRACKS BIOTHERAPEUTICS	$ Position$63,871,322	% Position3.00%	$ Change	# Change
Stck Ticker156944100	Stock NameCG ONCOLOGY INC (CALL)	$ Position$39,894,575	% Position2.00%	$ Change	# Change
Stck Ticker64135M105	Stock NameNEUROGENE INC	$ Position$39,983,706	% Position2.00%	$ Change56.00%	# Change0.00%

Brochure Summary

Overview

EcoR1 Capital, LLC (“EcoR1”) is a limited liability company that has been in business since 2012. EcoR1’s manager, controlling owner and portfolio manager is Oleg Nodelman. As of December 31, 2023, EcoR1 had total discretionary net assets under management of approximately $3.858 billion. EcoR1 only manages assets on a discretionary basis. EcoR1 serves as the general partner of and investment adviser to the EcoR1 Capital Funds (the “Capital Funds”), which invest principally, but not solely, in equity and equity-related securities that are issued by biotechnology companies and traded publicly in U.S. and non-U.S. markets. The Capital Funds also invest in illiquid securities (generally, restricted securities of public and private companies). EcoR1 also serves as the investment adviser to the EcoR1 Venture Opportunity Funds (the “Venture Funds”), which invest principally, but not solely, in restricted equity and equity-related securities issued by privately-held biotechnology companies globally. EcoR1 intends to allocate investment opportunities in such restricted securities between the Capital Funds and the Venture Funds as described in each fund’s offering materials. In the future, EcoR1 may, but is not required to, offer one or more

investors in its funds or clients (or any other persons) the right to participate in investments in which the Capital Funds or the Venture Funds participate if (a) EcoR1 believes that such participation would benefit those funds or the portfolio company or (b) EcoR1 determines that those funds have been allocated the full amount of such investment in the portfolio company in light of their risk-return profiles, available capital and other considerations EcoR1 determines to be relevant. Any such fund that may be established in the future is called an “SPV” and collectively, the “SPVs.” The Capital Funds, the Venture Funds and the SPVs are collectively referred to herein as “clients” or “funds.” EcoR1 selects all fund investments and strategies. While the offering documents for each fund describes the specific investment strategy that EcoR1 intends to follow for that fund, EcoR1 is generally authorized to enter into any type of investment transaction that it deems appropriate under the terms of the applicable fund’s or client account’s governing documents. The investors in the funds that EcoR1 manages have no opportunity to select or evaluate any fund investments or strategies. EcoR1 does not participate in wrap fee programs.

ECOR1 CAPITAL, LLC

ECOR1 CAPITAL, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Top Holdings

Brochure Summary

Overview

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ECOR1 CAPITAL, LLC ECOR1 CAPITAL, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Top Holdings

Brochure Summary

Overview

ECOR1 CAPITAL, LLC

ECOR1 CAPITAL, LLC