9AT: CARRICK LANE LLC

CARRICK LANE LLC

CARRICK LANE LLC

Adviser Profile

As of Date	03/19/2026
Registration	SEC, Approved, 03/09/2021
ADV Location	NEW YORK, NY, United States
Contact Info	(21 xxxxxxx
Websites

AUM^*	3,029,750,000 110%
of that, discretionary	3,029,750,000 110%
Number of Employees	6 20%
of those in investment advisory functions	6 20%
Private Fund GAV^*	0
Avg Account Size	3,749,691 -14%
% High Net Worth	98.32% 1%
SMA’s	No
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- High net worth individuals
- Other investment advisers

Advisory Activities

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

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

3B 3B 2B 2B 1B 866M 433M

2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Carrick Lane LLC (“Carrick Lane” or the “Adviser”) is an investment advisory firm that commenced operations in 2021. Carrick Lane has a principal place of business in New York, New York and is organized as a limited liability company under the laws of the State of Delaware. The Adviser is wholly owned by Carrick Lane Holdings LLC, a limited liability company organized under the laws of the State of Delaware (“CL Holdings”). The Adviser provides discretionary investment advisory services to “accredited investors,” “qualified clients,” and “qualified purchasers” as they are defined respectively under Rule 501 of Regulation D of the Securities Act of 1933, Rule 205-3 under the Investment Advisers Act of 1940 and Rule 2(a)(51)-1 under the Investment Company Act of 1940, in addition to investment consulting and other services. The Adviser furnishes guidance to separately managed account arrangements (“Accounts” or “Clients”) based on the specific investment objectives and strategies that are set forth in the investment management

agreement (“IMA”) and sub-advisory agreement (collectively “Governing Documents”). The Adviser offers customized option-based solutions to clients with a focus on absolute return, yield enhancement and risk reduction. Its primary offering is a suite of Put Writing strategies, with an objective to generate option premium over time by selling and actively managing a portfolio of index put options. The Put Writing suite provides clients with the ability to opt-in to features that can buy and actively manage index put options in addition to selling and actively managing put options. Carrick Lane provides exposure to the strategy targeting the client specified mandate size. To the extent Accounts are managed under wrap fee programs, the Adviser manages such Accounts the same as its non-wrap fee Accounts. The Adviser receives fees for the wrap fee accounts based on the Client’s mandate size. As of March 26, 2024, the Adviser manages approximately $1,439,869,000 in regulatory assets under management, all on a discretionary basis.