9AT: LLOYD HARBOR CAPITAL MANAGEMENT, LLC

Adviser Profile

As of Date	03/31/2026
Registration	SEC, Approved, 07/27/2022
Other registrations (1)	SEC, ERA - Withdrawn, 06/27/2022
Former registrations	LLOYD HARBOR CAPITAL MANAGEMENT, LLC
ADV Location	COLD SPRING HARBOR, NY, United States
Contact Info	631 xxxxxxx
Websites

AUM^*	354,498,071 -21%
of that, discretionary	354,498,071 -21%
Number of Employees	6 -14%
of those in investment advisory functions	5 -17%
Private Fund GAV^*	354,397,903 14%
Avg Account Size	177,249,036 18%
SMA’s	No
Private Funds	4 1

Adviser Type

- Large advisory firm

Client Types

- Pooled investment vehicles

Advisory Activities

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

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

	Count	GAV
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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 TRILINC GLOBAL ADVISORS, LLC	Hedge Fund172.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV172.7m	AUM181.7m	#Funds7
Adviser SETIA PARTNERS LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM280.0m	#Funds-
Adviser PRIME MERIDIAN CAPITAL MANAGEMENT, LLC	Hedge Fund99.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV99.4m	AUM176.7m	#Funds4
Adviser SHOREVEST PARTNERS, LTD.	Hedge Fund213.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV213.1m	AUM244.0m	#Funds3
Adviser GREENLEA LANE CAPITAL MANAGEMENT LLC	Hedge Fund419.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV419.2m	AUM461.9m	#Funds2
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 Fund83.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV83.9m	AUM304.6m	#Funds4
Adviser SENDER COMPANY & PARTNERS, INC.	Hedge Fund154.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV154.4m	AUM264.8m	#Funds3
Adviser REDWOOD GROVE CAPITAL, LLC	Hedge Fund364.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV364.0m	AUM364.0m	#Funds2

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker37954Y871	Stock NameGLOBAL X FDS	$ Position$11,362,000	% Position12.00%	$ Change	# Change
Stck Ticker85208P303	Stock NameSPROTT FDS TR	$ Position$11,541,980	% Position12.00%	$ Change163.00%	# Change216.00%
Stck Ticker30231G102	Stock NameEXXON MOBIL CORP	$ Position$8,476,640	% Position9.00%	$ Change-77.00%	# Change-71.00%
Stck Ticker61945C103	Stock NameMOSAIC CO (CALL)	$ Position$7,946,250	% Position8.00%	$ Change	# Change
Stck Ticker91688R108	Stock NameUR-ENERGY INC	$ Position$6,768,050	% Position7.00%	$ Change-27.00%	# Change-20.00%
Stck Ticker962166104	Stock NameWEYERHAEUSER CO	$ Position$6,942,600	% Position7.00%	$ Change-5.00%	# Change-3.00%
Stck Ticker952845105	Stock NameWEST FRASER TIMBER CO LTD	$ Position$5,753,650	% Position6.00%	$ Change	# Change
Stck Ticker61945C103	Stock NameMOSAIC CO	$ Position$5,403,450	% Position6.00%	$ Change	# Change
Stck Ticker15135U109	Stock NameCENOVUS ENERGY INC	$ Position$4,465,800	% Position5.00%	$ Change-52.00%	# Change-49.00%
Stck Ticker248356107	Stock NameDENISON MINES CORP	$ Position$4,743,000	% Position5.00%	$ Change49.00%	# Change72.00%

Brochure Summary

Overview

Lloyd Harbor Capital Management, LLC is organized as a Delaware limited liability company with a principal place of business in Cold Spring Harbor, New York. Lloyd Harbor’s principal owner is Timothy J. Rotolo through his various subsidiaries. Lloyd Harbor provides discretionary investment advice to the following private pooled investment funds: (i) Sachem Cove Special Opportunities Fund, LP (the "Sachem Cove Fund") and (ii) LHC Special Opportunities Fund I LP (the “LHC Fund” and, together with the Sachem Cove Fund, the “Funds”) The securities of which are offered through a private placement memorandum to accredited investors, as defined under the Securities Act of 1933, as amended (the “Securities Act”), and qualified purchasers, as defined under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Funds are exempt from registration under the Investment Company Act, and their securities are not registered under the Securities Act. Lloyd Harbor does not tailor its advisory services to the individual needs of the underlying investors or limited partners in its Funds (the “Investors”) and does not accept Investor-imposed investment restrictions for the Funds. Lloyd Harbor has discretion to manage the investment program of each Fund in its judgement, subject to the investment guidelines

and restrictions set forth in the applicable private offering memorandum and investment management agreement between the relevant Fund and Lloyd Harbor. The Funds may enter into side letters and other agreements and arrangements with certain investors in the Funds, which may provide terms and conditions that are more advantageous than those set forth in the applicable private offering memorandum. Additionally, we provide discretionary investment advice to certain separately managed accounts (the “SMAs” and together with the Funds, the “Clients”). SMAs may offer tailored investment objectives to specific financial instruments and/or be subject to different terms and fees than those of the Funds. Such investment objectives and terms will be negotiated with each SMA client and described in each SMA client’s IMA. Our investment decisions and advice with respect to the Fund is subject to the Fund’s investment objectives and guidelines, as set forth in its respective private offering memorandum and/or other offering documents (collectively, “Offering Documents”). We do not currently participate in any Wrap Fee Programs. Currently, we have $450,897,340 in regulatory assets under management on a discretionary basis as of December 31, 2023. We do not have any non-discretionary regulatory assets.

LLOYD HARBOR CAPITAL MANAGEMENT, LLC

LLOYD HARBOR CAPITAL MANAGEMENT, LLC

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Adviser Profile

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Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

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Brochure Summary

Overview

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LLOYD HARBOR CAPITAL MANAGEMENT, LLC LLOYD HARBOR CAPITAL MANAGEMENT, LLC

Related Companies

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Top Holdings

Brochure Summary

Overview

LLOYD HARBOR CAPITAL MANAGEMENT, LLC

LLOYD HARBOR CAPITAL MANAGEMENT, LLC