9AT: GROUND SWELL CAPITAL, LLC

Adviser Profile

As of Date	03/11/2026
Registration	SEC, Approved, 03/30/2012
ADV Location	FOLLY BEACH, SC, United States
Contact Info	843 xxxxxxx

AUM^*	949,165,173 -35%
of that, discretionary	949,165,173 -35%
Number of Employees	10
of those in investment advisory functions	5
Private Fund GAV^*	949,165,173 -17%
Avg Account Size	474,582,587 -67%
SMA’s	No
Private Funds	2 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 SCP INVESTMENT, LP	Hedge Fund1.2b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.2b	AUM1.2b	#Funds13
Adviser DG PARTNERS LLP	Hedge Fund1.8b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.8b	AUM1.9b	#Funds6
Adviser AGAMERICA LENDING LLC	Hedge Fund985.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV985.0m	AUM1.2b	#Funds1
Adviser CEDERBERG CAPITAL LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM684.6m	#Funds-
Adviser YAUPON CAPITAL MANAGEMENT LP	Hedge Fund4.7b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV4.7b	AUM4.7b	#Funds7
Adviser EASTERLY INVESTMENT PARTNERS LLC	Hedge Fund67.5m	Liquidity Fund-	Private Equity Fund225.0k	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund250.0m	Other Fund-	Total Private Fund GAV567.8m	AUM2.8b	#Funds3
Adviser NZS CAPITAL LLC	Hedge Fund867.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund121.7m	Total Private Fund GAV989.3m	AUM4.1b	#Funds6
Adviser SARAZA MANAGEMENT LP	Hedge Fund340.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV340.1m	AUM366.5m	#Funds3
Adviser ALTFEST PERSONAL WEALTH MANAGEMENT	Hedge Fund12.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV12.6m	AUM1.8b	#Funds3
Adviser E. S. BARR & COMPANY	Hedge Fund48.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV48.2m	AUM2.2b	#Funds1

Brochure Summary

Overview

About Ground Swell Capital, LLC Ground Swell Capital, LLC (“Ground Swell”) was founded in 2010 by Scott Howell, Kellen Cooney, and Joey Foxhall. Travis Howell joined Ground Swell as a principal in 2011. It serves as the investment adviser to pooled investment vehicles beneficially owned by sophisticated, high net worth investors (the “Clients”). Ground Swell attempts to achieve superior rates of return by leveraging its particular knowledge of United States equity markets. Ground Swell provides investment management and other services to affiliated private pooled investment vehicles (each a “Fund” or “Partnership” and collectively, the “Funds”) with respect to investments in portfolio companies. Ground Swell provides investment advice consistent with the investment objectives, guidelines, and restrictions set forth in the applicable governing documents and/or private placement memoranda of the Funds. Ground Swell does not serve as the general partner to its Funds. An affiliate of the Firm serves in that capacity and relies on Ground Swell to serve as the investment adviser.

The Adviser, through its clients (i.e. Funds), seeks to maximize returns on investment and minimize risk to capital and volatility of returns through a diverse set of directional and market- neutral strategies implemented within a systematic trading platform. The Firm employs automated (or systematic) and non-automated (or discretionary) multi-strategy trading systems to implement its intraday, medium to high turnover trading strategies and opportunistic targeted directional strategies as applied to U.S., European, and Asia-Pacific (“APAC”) equity and option markets. The Firm’s advisory services will be provided to the Fund pursuant to the terms of its formation and offering documents and will be based on the specific investment objectives, strategies, or restrictions described therein. The Adviser does not tailor its advisory services to the individual needs of the investors in any Fund. Ground Swell does not sponsor or participate in a wrap fee program. As of December 31, 2023, Ground Swell’s discretionary regulatory assets under management amounted to $1,456,875,045.

GROUND SWELL CAPITAL, LLC

GROUND SWELL CAPITAL, LLC

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Brochure Summary

Overview

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GROUND SWELL CAPITAL, LLC GROUND SWELL CAPITAL, LLC

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Brochure Summary

Overview

GROUND SWELL CAPITAL, LLC

GROUND SWELL CAPITAL, LLC