9AT: IVYROCK ASSET MANAGEMENT (HK) LIMITED

other names

Adviser Profile

As of Date	09/23/2024
Adviser Type - Large advisory firm - Outside the United States
Number of Employees	14 40.00%
of those in investment advisory functions	7 133.33%
Registration	SEC, Approved, 08/30/2021
Other registrations (1)	SEC, ERA - Withdrawn, 01/14/2021
Former registrations	IVYROCK ASSET MANAGEMENT (HK) LIMITED

AUM^*	1,022,867,444 -17.22%
of that, discretionary	1,022,867,444 -17.22%
Private Fund GAV^*	652,675,070 -22.51%
Avg Account Size	204,573,489 -17.22%
SMA’s	No
Private Funds	5 2
Contact Info	+85 xxxxxxx

Client Types

- Pooled investment vehicles
- Sovereign wealth funds and foreign official institutions

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 TypeHedge Fund	Count2	GAV$599,078,275
Fund TypePrivate Equity Fund	Count1	GAV$15,158,394
Fund TypeOther Private Fund	Count2	GAV$38,438,401

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 MAIN MANAGEMENT, LLC	Hedge Fund23.9m	Liquidity Fund-	Private Equity Fund133.4m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund54.5m	Total Private Fund GAV211.9m	AUM1.6b	#Funds3
Adviser VIEW CAPITAL RIA, LP	Hedge Fund28.4m	Liquidity Fund-	Private Equity Fund11.8m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund2.7m	Total Private Fund GAV43.0m	AUM1.8b	#Funds4
Adviser REMY INVESTORS & CONSULTANTS, LLC	Hedge Fund38.6m	Liquidity Fund-	Private Equity Fund68.4m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund142.6m	Total Private Fund GAV249.6m	AUM854.6m	#Funds3
Adviser REMY INVESTORS & CONSULTANTS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM781.5m	#Funds-
Adviser FULLER INVESTMENT MANAGEMENT COMPANY	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund166.4m	Total Private Fund GAV166.4m	AUM230.3m	#Funds1
Adviser RAISON ASSET MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund52.6m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV52.6m	AUM203.5m	#Funds1
Adviser PANI BEKAERT PLUIM & CO. LLC	Hedge Fund125.0m	Liquidity Fund-	Private Equity Fund1.2m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund15.0m	Total Private Fund GAV141.2m	AUM-	#Funds3
Adviser ELISE 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 VARADERO CAPITAL, L.P.	Hedge Fund1.6b	Liquidity Fund-	Private Equity Fund832.6k	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund51.0m	Total Private Fund GAV1.7b	AUM2.6b	#Funds8
Adviser GRAMERCY FUNDS MANAGEMENT LLC	Hedge Fund2.0b	Liquidity Fund-	Private Equity Fund3.1b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund2.2b	Total Private Fund GAV7.3b	AUM7.4b	#Funds45

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker722304102	Stock NamePDD HOLDINGS INC	$ Position$102,295,704	% Position48.00%	$ Change13.00%	# Change-7.00%
Stck Ticker46438F101	Stock NameISHARES BITCOIN TRUST ETF	$ Position$28,699,211	% Position13.00%	$ Change-12.00%	# Change0.00%
Stck Ticker52490G102	Stock NameLEGEND BIOTECH CORP	$ Position$28,636,920	% Position13.00%	$ Change229.00%	# Change216.00%
Stck Ticker01609W102	Stock NameALIBABA GROUP HLDG LTD	$ Position$23,880,738	% Position11.00%	$ Change8985.00%	# Change5726.00%
Stck Ticker136635109	Stock NameCANADIAN SOLAR INC	$ Position$22,556,605	% Position11.00%	$ Change46.00%	# Change88.00%
Stck Ticker647581206	Stock NameNEW ORIENTAL ED & TECHNOLOGY	$ Position$2,045,790	% Position1.00%	$ Change-70.00%	# Change-60.00%
Stck Ticker86627T108	Stock NameSUMMIT THERAPEUTICS INC	$ Position$1,769,684	% Position1.00%	$ Change-40.00%	# Change-45.00%
Stck TickerM9607U115	Stock NameVALENS SEMICONDUCTOR LTD	$ Position$81,600	% Position0.00%	$ Change-48.00%	# Change-33.00%
Stck Ticker78463V107	Stock NameSPDR GOLD TR	$ Position$777,978	% Position0.00%	$ Change34.00%	# Change13.00%
Stck Ticker007903107	Stock NameADVANCED MICRO DEVICES INC	$ Position$246,576	% Position0.00%	$ Change	# Change

Brochure Summary

Overview

General Description of Advisory Firm IvyRock Asset Management (HK) Limited (“IAMHK”, “we”, “our”, or “us”) is licensed with the Securities and Futures Commission of Hong Kong effective 6 March 2014. It is a limited company incorporated in Hong Kong and registered under the business registration ordinance of Hong Kong on 30 March 2009. IAMHK is wholly-owned by Gold Stand Goal Limited which in turn is solely owned by Mr. Yong Huang. Description of Advisory Services IAMHK provides discretionary investment management services for qualified private and institutional investors that invest in two pooled investment vehicles (each consisting of a master and feeder fund), which are the IvyRock China Equity Master Fund, IvyRock China Equity Feeder Fund, IvyRock China Focus Master Fund, the IvyRock China Focus Feeder Fund, and one special purpose investment vehicle, Ivy Little Rock I Limited (collectively “IvyRock Funds”). IAMHK also serves as the sub-investment manager to manage on a discretionary basis, ABS Direct Equity Fund LLC,

Asia Series 6 (together with the IvyRock Funds, collectively “Funds”). The Funds are not registered under the Securities Act of 1933, as amended (the “Securities Act”), and the Funds are not registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”). Accordingly, shares in the Funds are offered exclusively to investors satisfying the applicable eligibility and suitability requirements to private placement transactions within the United States or in non-United States transactions, and only by means of an offering memorandum. All discussions of clients’ investment terms in this document, including but not limited to their investments, strategies, fees and other costs, conflicts of interest and relevant material risks are qualified in their entirety by reference to the relevant offering memorandum and governing documents with regard to the Funds. IAMHK does not participate in wrap fee programs. As of 30 June 2023, the firm managed assets on a discretionary basis in the amount of approximately USD 1.17 billion.

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IVYROCK ASSET MANAGEMENT (HK) LIMITED

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