9AT: BROADWOOD CAPITAL, INC

other names

Adviser Profile

As of Date	08/13/2024
Adviser Type - Large advisory firm
Number of Employees	5 -28.57%
of those in investment advisory functions	4 -20.00%
Registration	SEC, Approved, 03/27/2012

AUM^*	1,224,233,537 -5.91%
of that, discretionary	1,224,233,537 -5.91%
Private Fund GAV^*	1,224,233,537
Avg Account Size	1,224,233,537 -5.91%
SMA’s	No
Private Funds	1
Contact Info	212 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles
- Selection of other advisers

Compensation Arrangments

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

Fund Type	Count	GAV
Fund TypeHedge Fund	Count1	GAV$1,224,233,537

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 NARWHAL CAPITAL MANAGEMENT	Hedge Fund5.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV5.0m	AUM1.8b	#Funds1
Adviser COOPER CREEK PARTNERS MANAGEMENT LLC	Hedge Fund3.8b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV3.8b	AUM4.5b	#Funds4
Adviser COHANZICK MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM880.6m	#Funds-
Adviser GLOBAL CREDIT ADVISERS, LLC	Hedge Fund741.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV741.4m	AUM840.0m	#Funds6
Adviser HOLDCO ASSET MANAGEMENT, LP	Hedge Fund2.4b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.4b	AUM2.4b	#Funds6
Adviser COLUMBUS HILL CAPITAL MANAGEMENT, L.P.	Hedge Fund1.4b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.4b	AUM1.4b	#Funds6
Adviser THIRD AVENUE MANAGEMENT LLC	Hedge Fund18.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV18.6m	AUM1.4b	#Funds1
Adviser VERSOR INVESTMENTS LP	Hedge Fund1.0b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.0b	AUM1.3b	#Funds17
Adviser BELSTAR MANAGEMENT COMPANY, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM649.4m	#Funds-
Adviser SPRUCE HOUSE INVESTMENT MANAGEMENT LLC	Hedge Fund1.9b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.9b	AUM2.3b	#Funds3

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker05464C101	Stock NameAXON ENTERPRISE INC	$ Position$429,349,249	% Position34.00%	$ Change41.00%	# Change-5.00%
Stck Ticker61174X109	Stock NameMONSTER BEVERAGE CORP NEW	$ Position$436,021,466	% Position34.00%	$ Change1.00%	# Change0.00%
Stck Ticker852312305	Stock NameSTAAR SURGICAL CO	$ Position$263,513,247	% Position21.00%	$ Change-34.00%	# Change1.00%
Stck Ticker464287655	Stock NameISHARES TR	$ Position$114,881,523	% Position9.00%	$ Change0.00%	# Change0.00%
Stck Ticker53566P109	Stock NameLINEAGE CELL THERAPEUTICS IN	$ Position$20,937,293	% Position2.00%	$ Change-44.00%	# Change0.00%
Stck Ticker68235C206	Stock NameONCOCYTE CORP	$ Position$14,861,684	% Position1.00%	$ Change6.00%	# Change27.00%
Stck Ticker81751A108	Stock NameSERINA THERAPEUTICS INC	$ Position$426,947	% Position0.00%	$ Change-25.00%	# Change0.00%

Brochure Summary

Overview

The Adviser is an investment adviser with its principal place of business in New York, New York. The Adviser was formed in February 2002 and commenced operations as an investment adviser in June 2002. The Adviser is registered as an investment adviser with the SEC. Neal C. Bradsher is the principal owner of the Adviser. The Adviser provides the following advisory services both on a discretionary and non-discretionary basis to two clients. The Adviser provides investment advisory services on a discretionary basis to Broadwood Partners, L.P. (“BPLP” or the “Partnership”), a pooled investment vehicle intended for sophisticated investors. The Adviser also provides investment advisory services on a non-discretionary basis to a pooled investment vehicle serving members of a single-family group (the “Non-Discretionary Advisory Account”).

The Adviser is one of several investment advisers providing investment advisory services to the Non- Discretionary Advisory Account and the Adviser does not provide continuous and regular supervisory or management services to the Non-Discretionary Advisory Account. Other than these two clients, the Adviser has no other business activities. The Adviser provides advice to its client accounts based on specific investment objectives and strategies. Discretionary management clients may not impose restrictions on investing in certain securities or certain types of securities. The Adviser does not participate in wrap-fee programs. As of December 31, 2023, the Adviser managed $1,224,233,537 (with $1,040,233,602 of net equity) on a discretionary basis and advised the Non-Discretionary Advisory Account which had assets of $538,617,924.

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BROADWOOD CAPITAL, INC

Adviser Profile

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