9AT: REDWOOD GROVE CAPITAL, LLC

other names

REDWOOD GROVE CAPITAL, LLC

Adviser Profile

As of Date	03/13/2025
ADV Location	PALO ALTO, CA, United States
Adviser Type - Large advisory firm
Number of Employees	6 50%
of those in investment advisory functions	4 33%
Registration	SEC, Approved, 09/24/2021
Other registrations (1)	California, ERA - Withdrawn, 08/25/2021

AUM^*	340,000,000 13%
of that, discretionary	340,000,000 55%
Private Fund GAV^*	340,000,000
Avg Account Size	340,000,000 55%
SMA’s	No
Private Funds	2 1
Contact Info	650 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management

Fund Type	Count	GAV
Fund TypeHedge Fund	Count1	GAV$340,000,000
Fund TypeOther Private Fund	Count1	GAV$

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 WHITNEY PEAK CAPITAL, LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM80.2m	#Funds-
Adviser KORR ACQUISITIONS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM107.8m	#Funds-
Adviser LOGICA CAPITAL ADVISERS, LLC	Hedge Fund53.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV53.1m	AUM541.0m	#Funds6
Adviser SQUARE CIRCLE IA LP	Hedge Fund511.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV511.3m	AUM511.3m	#Funds2
Adviser MARKETFIELD ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM154.0m	#Funds-
Adviser LLOYD HARBOR CAPITAL MANAGEMENT, LLC	Hedge Fund309.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV309.6m	AUM309.6m	#Funds5
Adviser TAIKA CAPITAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM144.4m	#Funds-
Adviser SHOREVEST PARTNERS, LTD.	Hedge Fund130.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV130.7m	AUM193.7m	#Funds2
Adviser TLS ADVISORS LLC	Hedge Fund175.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV175.7m	AUM272.1m	#Funds2
Adviser MERCATOR PARTNERS	Hedge Fund279.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV279.1m	AUM279.1m	#Funds4

Brochure Summary

Overview

Redwood Grove Capital, LLC (“Redwood Grove” or the “Firm”) is a Delaware limited liability company formed in September 2016 with its principal office in Palo Alto, CA. Redwood Grove is owned by Greg Serrurier and Theodore Roosevelt who are the founders and managing members (together, the “Managing Members”) Redwood Grove serves as the general partner (the “General Partner”) to the private fund, Redwood Grove Capital Fund, LP (the “Fund”), a Delaware limited partnership. Redwood Grove does not tailor its services to the individual Fund investors (the “Limited Partners”) or provide Limited Partners with the right to specify, restrict, or influence the Fund’s investment objectives or any investment or trading decisions. Redwood Grove will manage the Fund pursuant to the investment guidelines set forth in the relevant governing and offering documents of the Fund, including the Fund’s private placement memorandum, limited partnership agreement and subscription agreement (collectively, the “Offering Documents”). The Offering Documents contain more detailed information about the Fund, including a description of the investment objective and strategy or strategies employed by the Fund and related restrictions that serve as a limitation on Redwood Grove’s advice or management. Redwood Grove has entered into one or more “side letters” or

similar agreements with certain Limited Partners under which the Firm waives or modifies certain investment terms for such Limited Partners, without obtaining the consent of any other investor in the Funds and/or grants to any such Limited Partner specific rights, benefits or privileges. Redwood Grove also provides a greater level of disclosure regarding the investments and activities of the Fund to certain Limited Partners than others. Such agreements will be disclosed only to those actual or potential Limited Partners that have separately negotiated with Redwood Grove for the right to review such agreements. Any rights established, or any terms of the Limited Partnership Agreement altered or supplemented in a side letter with a Limited Partner will govern with respect to such Limited Partner. These terms could include a reduction in management fees and/or performance allocations, special rights with respect to future contributions, future investments and supplemental reporting. Redwood Grove negotiates such arrangements on a case-by-case basis. Redwood Grove does not participate in wrap fee programs. As of December 31, 2023, Redwood Grove has approximately $300(US) million in regulatory assets under management, all of which are managed on a discretionary basis. Redwood Grove does not manage any assets on a non-discretionary basis.

REDWOOD GROVE CAPITAL, LLC

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