9AT: RYE BROOK CAPITAL, LLC

RYE BROOK CAPITAL, LLC

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RYE BROOK CAPITAL, LLC
RYE BROOK CAPITAL, LLC ERA

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Adviser Profile

As of Date	03/14/2025
Adviser Type - Large advisory firm
Number of Employees	1
of those in investment advisory functions	1
Registration	SEC, Approved, 12/16/2020
Other registrations (2)	SEC, ERA - Withdrawn, 11/16/2020 Connecticut, ERA - Withdrawn, 11/16/2020
Former registrations	RYE BROOK CAPITAL, LLC

AUM^*	278,633,406 -30.53%
of that, discretionary	278,633,406 -30.53%
Private Fund GAV^*	0 -100.00%
Avg Account Size	12,114,496 -54.70%
% High Net Worth	8.70% -34.78%
SMA’s	Yes
Private Funds	0 13
Contact Info	203 xxxxxxx
Websites

Client Types

- High net worth individuals
- Pooled investment vehicles

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

430M 369M 307M 246M 184M 123M 61M

2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker46090E103	Stock NameINVESCO QQQ TRUST SERIES 1	$ Position$25,061	% Position26.00%	$ Change31.00%	# Change11.00%
Stck Ticker85210A104	Stock NameSPROTT PHYSICAL URANIUM TR	$ Position$13,583	% Position14.00%	$ Change47.00%	# Change12.00%
Stck Ticker92189F676	Stock NameVANECK SEMICONDUCTOR ETF	$ Position$9,858	% Position10.00%	$ Change54.00%	# Change16.00%
Stck Ticker81369Y704	Stock NameINDUSTRIAL SELECT SECT SPDR	$ Position$5,930	% Position6.00%	$ Change24.00%	# Change10.00%
Stck Ticker65340P106	Stock NameNEXGEN ENERGY LTD	$ Position$5,329	% Position6.00%	$ Change64.00%	# Change6.00%
Stck Ticker389638107	Stock NameGRAYSCALE ETHEREUM TRUST ETF	$ Position$5,242	% Position5.00%	$ Change24.00%	# Change-10.00%
Stck Ticker78463V107	Stock NameSPDR GOLD SHARES	$ Position$3,841	% Position4.00%	$ Change3.00%	# Change-2.00%
Stck Ticker46137V357	Stock NameINVESCO S&P 500 EQUAL WEIGHT	$ Position$3,553	% Position4.00%	$ Change-2.00%	# Change-7.00%
Stck Ticker790148100	Stock NameST JOE CO/THE	$ Position$2,948	% Position3.00%	$ Change23.00%	# Change21.00%
Stck Ticker464287556	Stock NameISHARES NASDAQ BIOTECHNOLOGY	$ Position$3,074	% Position3.00%	$ Change12.00%	# Change13.00%

Brochure Summary

Overview

A. The Adviser is a Connecticut limited liability company and has its principal place of business located in Greenwich, CT. The Adviser provides discretionary investment advisory and sub-advisory services to private investment funds for sophisticated, qualified investors (the “Funds” or the “Clients”). As a registered investment adviser, the Adviser owes a fiduciary duty to all of its clients. In 2006, the decision by the Court of Appeals for the D.C. Circuit in Goldstein v. SEC, 451 F.3d 873 (D.C. Cir. June 23, 2006), with respect to private funds, clarified that the “client” of an investment adviser to a private fund is the fund itself and not an investor in the fund. The Adviser was formed in 2017 by its founder, Carlos Gustavo Ribeiro Fernandes (the “Principal”). B. The Adviser seeks to generate absolute returns while minimizing volatility through pursuing a long-term strategy. C. While each of its Clients

will follow the general strategy stated above, the Adviser may tailor the specific advisory services with respect to each Client based on the particular investment objectives and strategies described in the applicable Client’s (i) confidential offering memorandum or separate account agreement (as applicable) and (ii) governing documents (referred to collectively as “Offering Documents”). All discussion of the Clients in this Brochure, including but not limited to their investments, the strategies used in managing the Clients, and conflicts of interest faced by the Adviser in connection with the management of the Clients are qualified in their entirety by reference to each Client’s respective Offering Documents. D. The Adviser does not participate in wrap fee programs. E. As of 12/31/23, the Adviser manages $474,967,214 in discretionary assets and $0 in non-discretionary assets.