9AT: DG CAPITAL MANAGEMENT, LLC

other names

DG CAPITAL MANAGEMENT, LLC
DG CAPITAL PARTNERS, LP (RELYING ADVISER)
DG CAPITAL PARTNERS II, LLC (RELYING ADVISER)

Adviser Profile

As of Date	03/27/2026
ADV Location	NEW YORK, NY, United States
Adviser Type - Large advisory firm
Number of Employees	11 10%
of those in investment advisory functions	11 10%
Registration	SEC, Approved, 06/02/2011

AUM^*	521,852,085 9%
of that, discretionary	521,852,085 9%
Private Fund GAV^*	481,415,531 4%
Avg Account Size	40,142,468 9%
SMA’s	Yes
Private Funds	6 2
Contact Info	646 xxxxxxx
Websites

Client Types

- Pooled investment vehicles
- Other

Advisory Activities

- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

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

Fund Type	Count	GAV
Fund TypeHedge Fund	Count4	GAV$470,172,110
Fund TypePrivate Equity Fund	Count2	GAV$11,243,421

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 PROSPECT CAPITAL ADVISORS, LLC	Hedge Fund302.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV302.4m	AUM309.4m	#Funds2
Adviser STEAMBOAT CAPITAL PARTNERS, LLC	Hedge Fund585.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV585.2m	AUM515.6m	#Funds4
Adviser THIRD NORTH CAPITAL LP	Hedge Fund184.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV184.2m	AUM432.2m	#Funds2
Adviser BLACK SWIFT GROUP, LLC	Hedge Fund77.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV77.3m	AUM694.1m	#Funds4
Adviser COWBIRD CAPITAL LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM355.5m	#Funds-
Adviser SELDON CAPITAL LP	Hedge Fund401.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV401.8m	AUM517.8m	#Funds3
Adviser SAGE ROCK CAPITAL MANAGEMENT LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM86.5m	#Funds-
Adviser RHINO INVESTMENT PARTNERS, INC.	Hedge Fund254.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV254.5m	AUM566.2m	#Funds4
Adviser TOWER BAY ASSET MANAGEMENT LP	Hedge Fund213.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV213.7m	AUM513.6m	#Funds4
Adviser NUMERAI	Hedge Fund1.0b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.0b	AUM1.9b	#Funds11

Brochure Summary

Overview

DG Capital Management, LLC has been in business since February 2007 and is a U.S. Securities and Exchange Commission (“SEC”) registered investment adviser. DG Capital Advisors, LLC launched in 2021 and serves as a relying adviser to DG Capital Management, LLC. DG Capital Management, LLC and DG Capital Advisors, LLC are also referred to herein as the “Firm.” The principal owner of the Firm is Dov Gertzulin. The Firm provides investment advisory services to various private investment funds (“Funds”) and separately managed accounts (“Accounts”) on a discretionary basis. For purposes of this Brochure, “Client” may refer to a Fund, investors in Funds, an Account or investors in such Accounts. The Firm does not hold itself out as specializing in a particular type of advisory service. The Clients’ purpose is investing and trading in a wide variety of securities and financial instruments, domestic and foreign,

primarily focusing on publicly traded credit and equity securities. In certain instances, upon Client request, the Firm may tailor its advisory services to the individual needs of Clients. Clients may impose restrictions on investing in certain securities or types of securities by specifying such restrictions in a written notice to the Firm. The Firm does not tailor its advisory to the individuals needs of investors in the Funds. The Firm provides discretionary investment advisory services to all fee paying Clients’ accounts. In connection with managing the investments of its Account Clients, such Accounts’ investment management agreements provide investment guidelines and parameters that provide the context within which the Firm renders its investment management services. As of December 31, 2023, the Firm manages approximately $479,398,065 of Client assets, all on a discretionary basis.

DG CAPITAL MANAGEMENT, LLC

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