9AT: LION EQUITY INVESTMENT ADVISORS, LLC

Adviser Profile

As of Date	03/11/2026
Registration	SEC, Approved, 07/10/2023
Other registrations (5)	SEC, ERA - Withdrawn, 06/09/2023 Colorado, ERA - Withdrawn, 06/09/2023 SEC, ERA - Active, 03/29/2019 Colorado, ERA - Active, 08/16/2017 Colorado, Terminated, 08/01/2017
Former registrations	LION EQUITY INVESTMENT ADVISORS, LLC
ADV Location	DENVER, CO, United States
Contact Info	303 xxxxxxx
Websites

AUM^*	173,464,223 -22%
of that, discretionary	173,464,223 -22%
Number of Employees	12 33%
of those in investment advisory functions	12 33%
Private Fund GAV^*	173,464,223 -13%
Avg Account Size	57,821,408 4%
SMA’s	No
Private Funds	3 1

Adviser Type

- Large advisory firm

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

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 BRICKELL KEY ASSET MANAGEMENT LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund119.9m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV119.9m	AUM119.9m	#Funds1
Adviser ARCADIUS CAPITAL PARTNERS INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund91.3m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV91.3m	AUM106.2m	#Funds1
Adviser ELEVAGE PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM154.6m	#Funds3
Adviser FS TACTICAL ADVISOR, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund294.2m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV294.2m	AUM278.8m	#Funds3
Adviser SCALEWORKS CAPITAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund105.5m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV105.5m	AUM198.4m	#Funds6
Adviser MAVEN ROYALTY MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund241.4m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV241.4m	AUM241.4m	#Funds2
Adviser SUMMIT HOUSE CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund191.8m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV191.8m	AUM518.7m	#Funds5
Adviser CITY DIFFERENT INVESTMENTS	Hedge Fund-	Liquidity Fund-	Private Equity Fund24.6m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund11.8m	Total Private Fund GAV36.5m	AUM244.4m	#Funds6
Adviser MGM INNOVA CAP MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund78.9m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV78.9m	AUM78.0m	#Funds4
Adviser GREY ROCK MANAGEMENT PARTNERS IV, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund856.7m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV856.7m	AUM856.7m	#Funds12

Brochure Summary

Overview

Lion Equity Investment Advisors, LLC (“Lion Equity” or the “Firm”) is a Delaware limited liability company founded in 2016 and principally owned by Edward James (“Jim”) Levitas and Ari J. Silverman. Lion Equity’s principal place of business is located in Denver, Colorado. Lion Equity is an operations-focused value investor specializing in corporate divestitures and special situations in the lower middle market. The Firm’s investment advisory services include identifying and evaluating investment opportunities, negotiating the terms of investments, managing and monitoring investments, and selling portfolio investments. Lion Equity leverages its strategic, financial, and operational expertise to build businesses to create long-term value for all stakeholders. The Firm plans to make investments in a number of industries, including, but not limited to, business services, logistics and distribution, information technology, mature software, and light manufacturing. Lion Equity’s portfolio investments are headquartered in the United States, Mexico or Canada and may have operations throughout the world. Lion Equity provides investment advisory

services to pooled investment vehicles (each a “Fund,” and collectively, the “Funds”). The Firm manages each of its Funds within the guidelines and restrictions set forth in each Fund’s offering documents and within regulatory guidelines and limitations. The Funds are expected to generally seek to rely on an exemption from registration under the Investment Company Act of 1940, as amended (the “Investment Company Act”) and their securities will not be registered under the Securities Act of 1933, as amended (the “Securities Act”). Lion Equity provides discretionary investment management services to the Funds in accordance with the applicable limited liability company operating agreement, limited partnership agreement, management agreement, subscription agreement, and side letters of each Fund (each, an “Advisory Agreement”). The Advisory Agreements of a Fund, along with any private placement memoranda and related materials are referred to herein collectively as the “Offering Documents” of such Fund. Assets Under Management As of December 31, 2023, Lion Equity manages $222,060,762 of regulatory assets on a discretionary basis.

LION EQUITY INVESTMENT ADVISORS, LLC

LION EQUITY INVESTMENT ADVISORS, LLC

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Client Types

Advisory Activities

Compensation Arrangments

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Employees

Private Funds Structure

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Overview

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LION EQUITY INVESTMENT ADVISORS, LLC LION EQUITY INVESTMENT ADVISORS, LLC

Related Companies

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Brochure Summary

Overview

LION EQUITY INVESTMENT ADVISORS, LLC

LION EQUITY INVESTMENT ADVISORS, LLC