9AT: HORIKO CAPITAL MANAGEMENT LLC

other names

HORIKO CAPITAL MANAGEMENT LLC

Adviser Profile

As of Date	03/03/2026
Registration	SEC, Approved, 10/06/2017
Other registrations (1)	New York, Terminated, 02/05/2018
ADV Location	NEW YORK, NY, United States
Contact Info	201 xxxxxxx
Websites

AUM^*	475,063,887 50%
of that, discretionary	475,063,887 50%
Private Fund GAV^*	248,881,524 18%
Avg Account Size	79,177,315 50%
% High Net Worth	33.33%
SMA’s	Yes
Private Funds	2

Adviser Type

- Large advisory firm

Number of Employees 6 20%

of those in investment advisory functions 3

Client Types

- High net worth individuals
- Investment companies
- Pooled investment vehicles

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles

Compensation Arrangments

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

SEC Fund Type	Count	GAV
Fund TypeHedge Fund	Count2	GAV$248,881,524

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 OAKVIEW CAPITAL MANAGEMENT, L.P.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM29.6m	#Funds-
Adviser KAILASA CAPITAL MANAGEMENT LLC	Hedge Fund4.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV4.0m	AUM298.3m	#Funds1
Adviser JGB CAPITAL MANAGEMENT L.P.	Hedge Fund393.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV393.1m	AUM421.0m	#Funds6
Adviser TALOMON CAPITAL LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM35.0m	#Funds-
Adviser GALAXY INVESTMENT MANAGEMENT, LLC	Hedge Fund323.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV323.8m	AUM323.8m	#Funds5
Adviser TABOR ASSET MANAGEMENT, LP	Hedge Fund119.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV119.6m	AUM577.2m	#Funds3
Adviser RIVERMONT CAPITAL MANAGEMENT LP	Hedge Fund548.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV548.9m	AUM617.9m	#Funds4
Adviser OWLS NEST PARTNERS	Hedge Fund257.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV257.8m	AUM441.2m	#Funds6
Adviser OGBORNE CAPITAL MANAGEMENT, LLC.	Hedge Fund410.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV410.0m	AUM410.0m	#Funds3
Adviser GULLANE CAPITAL, LLC	Hedge Fund145.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV145.3m	AUM145.3m	#Funds13

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker023135106	Stock NameAMAZON COM INC	$ Position$46,191,843	% Position11.00%	$ Change2.00%	# Change15.00%
Stck Ticker595112103	Stock NameMICRON TECHNOLOGY INC	$ Position$41,498,081	% Position10.00%	$ Change12.00%	# Change-3.00%
Stck Ticker67066G104	Stock NameNVIDIA CORPORATION	$ Position$42,289,231	% Position10.00%	$ Change3.00%	# Change11.00%
Stck Ticker02079K305	Stock NameALPHABET INC	$ Position$42,821,602	% Position10.00%	$ Change-20.00%	# Change-12.00%
Stck Ticker874039100	Stock NameTAIWAN SEMICONDUCTOR MANUFAC	$ Position$37,634,174	% Position9.00%	$ Change38.00%	# Change26.00%
Stck Ticker58155Q103	Stock NameMCKESSON CORP	$ Position$38,285,393	% Position9.00%	$ Change3.00%	# Change-2.00%
Stck Ticker30303M102	Stock NameMETA PLATFORMS INC	$ Position$40,852,555	% Position9.00%	$ Change-10.00%	# Change5.00%
Stck Ticker37045V100	Stock NameGENERAL MTRS CO	$ Position$38,106,790	% Position9.00%	$ Change-10.00%	# Change-1.00%
Stck Ticker037833100	Stock NameAPPLE INC	$ Position$24,134,314	% Position6.00%	$ Change-25.00%	# Change-19.00%
Stck Ticker23331A109	Stock NameD R HORTON INC	$ Position$20,360,028	% Position5.00%	$ Change-5.00%	# Change1.00%

Brochure Summary

Overview

Firm Description HCM was established as a New York limited liability company in April 2000 and approved as a SEC registered investment adviser on October 6, 2017. HCM was formerly a New York State registered investment adviser. The Investment Adviser’s principal business and occupation is to provide financial management and advisory services to individuals, corporations, and other institutional clients throughout the world. Principal Owners Hideji Horiko owns 99% of the HCM. Types of Advisory Services HCM serves as investment manager for 3 private investment funds. In particular, HCM provides investment advice to investment vehicles formed as a domestic entity (a limited partnership) and a foreign entity (a Cayman Island exempt company and Unit Trust). HCM also provides discretionary investment advice to other domestic and foreign institutional clients, including high net worth individuals. As investment manager, HCM offers investment advice and management in the following types of securities: - US and Non-US Equity and equity related securities - Event arbitrage activities involving US and Non-US companies - Fixed and adjustable rate US Government and Agency bonds, US Treasury Notes and US Treasury Bills - Debt Securities and instruments issued by US and Non-US corporations - Futures contracts, foreign exchange

commitments, leverage contracts, currencies - Commodities and commodity interests As of DECEMBER 31, 2023, HCM manages $316,358,922 in assets for 4 investment vehicles and 2 high net worth individuals on a discretionary basis. Tailored Relationships The goals and objectives for each client are documented in the investment management agreement with each client. Investment policy statements are created that reflect the stated goals and objective. The investment management agreement may impose restrictions on investing in certain securities or types of securities. Agreements may not be assigned without client consent. Types of Agreements The following agreements define the typical client relationships. Investment Management Agreement HCM provides discretionary investment advisory services as an investment manager for its clients pursuant to various investment management agreements, limited partnership agreements and operating agreements. HCM's investment management fees are determined by, among other factors, the strategy, the type of assets to be managed, the intensity of the analysis required, and the size of the pool of the assets. HCM may also provide financial planning services to its individual clients. The base annual fee schedule typically ranges between 1.0% and 3.0% of assets under management.

HORIKO CAPITAL MANAGEMENT LLC

Adviser Profile

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