9AT: CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC

other names

CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC
CICC ALPHA INVESTMENT MANAGEMENT (US), LLC

Adviser Profile

As of Date	03/25/2026
ADV Location	NEW YORK, NY, United States
Adviser Type - Large advisory firm
Number of Employees	1
of those in investment advisory functions	1
Registration	SEC, Approved, 09/25/2017

AUM^*	175,080,280 1%
of that, discretionary	175,080,280 1%
Private Fund GAV^*	175,080,280 -1%
Avg Account Size	175,080,280 1%
SMA’s	No
Private Funds	1
Contact Info	646 xxxxxxx

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	Count1	GAV$175,080,280

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 CW INDUSTRIAL PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund293.4m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV293.4m	AUM293.4m	#Funds5
Adviser PGP ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund166.3m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV166.3m	AUM166.3m	#Funds1
Adviser LAKE WHILLANS CAPITAL PARTNERS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund311.9m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV311.9m	AUM311.9m	#Funds6
Adviser KELSON ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund226.5m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV226.5m	AUM226.5m	#Funds21
Adviser BANGTAIL MANAGEMENT, LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM156.7m	#Funds-
Adviser PRESTIGE WEALTHWIDE, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM198.5m	#Funds-
Adviser LIGHTVIEW CAPITAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund195.5m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV195.5m	AUM157.6m	#Funds10
Adviser VICTOR CAPITAL PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund491.0m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV491.0m	AUM491.0m	#Funds9
Adviser SATURN FIVE ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund603.2m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund225.0m	Other Fund-	Total Private Fund GAV1.1b	AUM556.1m	#Funds29
Adviser TRUELINK CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.8b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.8b	AUM1.8b	#Funds17

Brochure Summary

Overview

a) Background CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC was founded in June 2017. CICC ALPHA is wholly owned by CICC ALPHA INVESTMENT Group Limited (Cayman). b) Advisory Services and Principal Investment Strategies CICC ALPHA provides investment advisory services specializing in the management of pooled private investment vehicles to a private equity fund, the Golden Road Capital Fund L.P., on a fully discretionary basis (the “Fund”). The Fund is organized as a limited partnership. In November 2017, CICC ALPHA entered into a Sub-Advisory agreement with NB Alternatives Advisers LLC (a subsidiary of Neuberger Berman Group LLC) to advise the Fund. CICC ALPHA seeks to achieve attractive risk- adjusted returns by investing predominantly in direct private equity investments alongside leading private equity sponsors. The Firm will seek to build an appropriately diversified portfolio of high-quality direct private equity investments primarily in North America and Europe. The Firm will focus its investments primarily on buyout transactions, and may opportunistically take advantage of special situations, growth capital, venture, and credit investment opportunities. The Firm intends to be diversified across industry sectors. It intends to take a minority position in each investment. CICC ALPHA will also seek to invest opportunistically

in a variety of mid-life situations, such as add-on acquisitions, recapitalizations, and partial divestitures of existing portfolio companies of lead private equity firms. The Firm believes that these transactions typically benefit from attractive buy-in valuations from a lack of a control premium. c) Tailored Advice and Client-Imposed Restrictions The Fund has its own investment objectives, strategies and restrictions. CICC ALPHA prepares offering materials with respect to the Fund that contain more detailed information. These serve as a limitation on the actions of CICC ALPHA’s investment team with regard to the Fund. Unless otherwise specified, the Fund is not necessarily tailored to meet the individualized investment needs of any particular investor (“Investor”) or client (“Client”). An investment in the Fund does not create a client- adviser relationship between CICC ALPHA and an Investor. Further discussion of the strategies, investments and risks associated with the Fund investment is included in the relevant materials for each type of Investor. d) Wrap Fee Disclosure Not applicable. e) Assets Under Management As of September 30, 2023, CICC ALPHA had regulatory assets under management of approximately $ 172,667,341, all of which was managed on a discretionary basis. 6 | P a g e

CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC

Adviser Profile

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

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Brochure Summary

Overview