9AT: WARWICK GROUP II, INC.

WARWICK GROUP II, INC.

WARWICK GROUP II, INC.

WARWICK CAPITAL GROUP LLC

WARWICK CAPITAL GROUP LLC ("RELYING ADVISER")

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Adviser Profile

As of Date	06/17/2023
Registration status	Registration Changed to WARWICK GROUP II, INC.
ADV Location	NEW CANAAN, CT, United States
Contact Info	203 xxxxxxx
Websites

AUM^*	66,063,947 -64%
of that, discretionary	0
Number of Employees	2
of those in investment advisory functions	2
Private Fund GAV^*	0
SMA’s	No
Private Funds	0

Adviser Type

- No longer eligible

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

Reported AUM

289M 247M 206M 165M 124M 82M 41M

2015 2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

Brochure Summary

Overview

Structure; History and Ownership Warwick Group II, Inc. (referred to in this Brochure as “Warwick” or “the firm”) is a private equity advisory firm with its principal place of business in Ridgefield, Connecticut. Mark Kozak founded the firm in 2007, and is its Managing Director and Chief Compliance Officer. Warwick Group II, Inc., together with Warwick Capital Group, LLC and other advisory entities under common control and conducting a single advisory business with the firm, specializes in the acquisition and recapitalization of profitable businesses with revenues up to $100 million. Collectively, the firm and such other advisory entities are referred to in this Brochure as “we” or “us.” Types of Advisory Services We act as an advisor in connection with “fundless sponsor” investments. Our general approach to such investments is as follows: once we identify an appropriate investment opportunity (usually a reasonably valued company with a consistent record of profitable operations), we form a special purpose vehicle (referred to herein as an “acquisition vehicle”) for the purpose of acquiring the investment opportunity (referred to herein as a “target

company”). We then invite institutions and high net worth individuals, including principals of the target company, to invest in the acquisition vehicle through private placements of the acquisition vehicle’s interests. The capital raised from such investments, along with other debt and borrowings, is used to acquire the target company. Once the acquisition has been completed, we provide ongoing strategic management to the target company and investment management to the acquisition vehicle. We consider the acquisition vehicles to be our “clients” for purposes of this Brochure. Impersonalized Investment Advice We generally do not tailor our investment strategy to the needs of individual investors in the acquisition vehicles. However in certain circumstances, we may structure an acquisition in a manner to benefit one or more investors, which investors may be principals of the target company, provided the acquisition vehicle as a whole is not disadvantaged. Assets Under Management As of December 31, 2022 we managed approximately $66,063,947 of client assets on a non-discretionary basis. We do not manage any client assets on a discretionary basis.

WARWICK GROUP II, INC.

WARWICK GROUP II, INC.

WARWICK CAPITAL GROUP LLC

WARWICK CAPITAL GROUP LLC ("RELYING ADVISER")

Related Companies

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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WARWICK GROUP II, INC. WARWICK GROUP II, INC. WARWICK CAPITAL GROUP LLC WARWICK CAPITAL GROUP LLC ("RELYING ADVISER")

Related Companies

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

WARWICK GROUP II, INC.

WARWICK GROUP II, INC.

WARWICK CAPITAL GROUP LLC

WARWICK CAPITAL GROUP LLC ("RELYING ADVISER")