9AT: RISING TIDE FUND MANAGERS, LLC

RISING TIDE FUND MANAGERS, LLC

RISING TIDE FUND MANAGERS, LLC

NV MANAGEMENT III, LLC ("NEWBURY VENTURES") (RELYING ADVISER)

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Adviser Profile

As of Date	03/27/2020
Registration status	Registration Changed to RISING TIDE FUND MANAGERS, LLC
ADV Location	SAN FRANCISCO, CA, United States

AUM^*	212,551,211
of that, discretionary	58,059,269
Number of Employees	6
of those in investment advisory functions	6
Private Fund GAV^*	0
Avg Account Size	26,568,901
SMA’s	No
Private Funds	0

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

Reported AUM

304M 261M 217M 174M 130M 87M 43M

2017 2018 2019 2020

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

Brochure Summary

Overview

A. Description of the Advisory Firm RTFM, a Delaware limited liability company formed in June 2016, is a venture capital firm investing primarily in the information technology and healthcare/life sciences markets. Dr. Ossama Hassanein, Managing Member of Rising Tide, is a seasoned businessman and venture capitalist with over 35 years of investment experience including Berkeley International Capital, Newbridge Networks Holdings, Newbury Ventures, and Rising Tide. The Rising Tide team draws on Dr. Hassanein’s management, investment methodologies, diligence protocols, and corporate governance experiences to guide the investments. B. Types of Advisory Services Rising Tide serves as investment adviser to certain private investment funds, including pledge funds, which are organized as Delaware limited partnerships or limited liability companies (“Funds”). At the discretion of the general partner of certain Funds, the Funds may consist of one or more separate partnerships (“Parallel Funds”) that will be operated under similar investment strategies, and which may invest in parallel with each other in proportion to the committed capital of each entity. Pledge funds are Funds where investors retain the ability to decide on a deal-by-deal basis on their investment into the Fund (“Pledge Funds”). Affiliates of Rising Tide generally serve as the General Partner or Managing Member, as applicable, of the Funds. Certain Funds are managed by the Investor

member, and the Firm’s responsibility is to source deals and provide reporting to the Investor. Rising Tide may decide in the future to sponsor or manage additional private investment funds or other clients (collectively with the Funds, Pledge Funds and Parallel Funds, the “Clients”). It invests in information technology and healthcare / life sciences companies (see Item 8B below), in accordance with the strategy described in each Fund’s offering memorandum, limited partnership or limited liability company operating agreement, and subscription documents (“Offering Documents”). The Funds offer limited partnership or membership interests, as applicable (“Interests”) to certain qualified investors as described in response to Item 7, below (such investors are referred to herein as “Investors”). C. Client Tailored Services and Client Imposed Restrictions Advisory services are tailored to achieve each Fund’s investment objectives. Rising Tide has the authority to select which and how many portfolio companies to invest in and determine exit strategies, subject to any restrictions as outlined in the applicable Fund’s Offering Documents. D. Wrap Fee Programs Rising Tide does not participate in wrap fee programs. E. Amounts Under Management Rising Tide has approximately the following regulatory assets under management (“RAUM”): Discretionary Amounts: Non-Discretionary Amounts: Date Calculated: $60.3 million $68.2 million December 31, 2022

RISING TIDE FUND MANAGERS, LLC

RISING TIDE FUND MANAGERS, LLC

NV MANAGEMENT III, LLC ("NEWBURY VENTURES") (RELYING ADVISER)

Related Companies

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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RISING TIDE FUND MANAGERS, LLC RISING TIDE FUND MANAGERS, LLC NV MANAGEMENT III, LLC ("NEWBURY VENTURES") (RELYING ADVISER)

Related Companies

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

RISING TIDE FUND MANAGERS, LLC

RISING TIDE FUND MANAGERS, LLC

NV MANAGEMENT III, LLC ("NEWBURY VENTURES") (RELYING ADVISER)