9AT: SAGEWOOD ASSET MANAGEMENT LP

SAGEWOOD ASSET MANAGEMENT LP

SAGEWOOD ASSET MANAGEMENT LP

SAGEWOOD ASSET MANAGEMENT LLC

Adviser Profile

As of Date	03/31/2026
Registration	SEC, Approved, 09/25/2015
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	2,700,678,017 2%
of that, discretionary	2,700,678,017 2%
Number of Employees	7 17%
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	10,590,894 15%
% High Net Worth	90.98% 2%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- High net worth individuals
- Corporations or other businesses not listed above
- Other

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

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

Reported AUM

3B 2B 2B 2B 1B 772M 386M

2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Sagewood Asset Management LP (“Sagewood”, “we”, “us”, “our”), provides discretionary investment management services to a wide variety of clients. Sagewood was organized as a limited liability company in Delaware in 2015. As of January 1, 2020, Sagewood changed its organization structure from a limited liability company to a limited partnership. Principal owners are Defina Maluki and William J. Belleville Jr. As of February 29, 2024, Sagewood had $2,628 million in regulatory assets under management. The advisory services of Sagewood are described in detail below. Investment Management Services Sagewood offers clients strategies that seek to generate returns by exploiting perceived inefficiencies in the pricing of volatility. Sagewood employs a disciplined quantitative investment process combined with thorough qualitative analysis to manage these strategies. Some of Sagewood’s strategies are implemented as an overlay on a client’s existing asset allocation. Investments made pursuant to this program are generally collateralized using margin and clients are required to designate one or more accounts whose assets serve as collateral (the

“Collateral Accounts”). We generally do not tailor advisory services to the individual needs of the clients. All Sagewood strategies are offered on a discretionary basis. Sagewood currently participates in wrap fee programs sponsored by J.P. Morgan Securities, Morgan Stanley Smith Barney, and UBS Financial Services. There is no difference in how we manage these accounts and other non-wrap fee accounts. Sagewood does not receive any portion of the wrap program fee. Sagewood charges these accounts its own management fee. If Sagewood manages the client account of a wrap fee client, the client should be aware that Sagewood may not be provided sufficient information by the wrap program sponsor to perform an assessment as to the suitability of Sagewood’s services for the client. Sagewood may rely on the wrap program sponsor who, within its fiduciary duty, must determine not only the suitability of Sagewood’s services for the client, but also the suitability of the wrap fee program for the client. Furthermore, Sagewood will make every effort to obtain best execution within any constraints that may be set forth by the client and the wrap program sponsor.

SAGEWOOD ASSET MANAGEMENT LP

SAGEWOOD ASSET MANAGEMENT LP

SAGEWOOD ASSET MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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SAGEWOOD ASSET MANAGEMENT LP SAGEWOOD ASSET MANAGEMENT LP SAGEWOOD ASSET MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

SAGEWOOD ASSET MANAGEMENT LP

SAGEWOOD ASSET MANAGEMENT LP

SAGEWOOD ASSET MANAGEMENT LLC