9AT: SOUTHFIELD CAPITAL LP

other names

SOUTHFIELD CAPITAL LP
SOUTHFIELD CAPITAL II GP LLC (RELYING ADVISER)
SOUTHFIELD MEZZANINE GP, LLC (RELYING ADVISER)
SOUTHFIELD MEZZANINE ASSOCIATES, LLC (RELATED ADVISER)
SOUTHFIELD GP EQUITY INVESTORS, LLC (RELYING ADVISER)
SOUTHFIELD CAPITAL, LLC

Adviser Profile

As of Date	03/31/2026
ADV Location	GREENWICH, CT, United States
Adviser Type - Large advisory firm
Number of Employees	27 13%
of those in investment advisory functions	24 14%
Registration	SEC, Approved, 07/20/2018
Other registrations (2)	SEC, ERA - Withdrawn, 06/20/2018 Connecticut, ERA - Withdrawn, 06/20/2018

AUM^*	2,057,155,514 37%
of that, discretionary	2,057,155,514 37%
Private Fund GAV^*	2,912,155,514 52%
Avg Account Size	257,144,439 191%
SMA’s	No
Private Funds	31 7
Contact Info	203 xxxxxxx
Websites

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

Fund Type	Count	GAV
Fund TypePrivate Equity Fund	Count27	GAV$2,575,947,474
Fund TypeOther Private Fund	Count4	GAV$336,208,040

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 SHAMROCK CAPITAL ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund7.1b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund416.3m	Total Private Fund GAV7.5b	AUM6.7b	#Funds39
Adviser PEPPERTREE CAPITAL MANAGEMENT INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM7.6b	#Funds-
Adviser TRIVE CAPITAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund8.0b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund34.8m	Total Private Fund GAV8.1b	AUM8.0b	#Funds19
Adviser 3I INVESTMENTS PLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund10.7b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund5.0b	Total Private Fund GAV15.7b	AUM-	#Funds20
Adviser CARLYLE GLOBAL CREDIT INVESTMENT MANAGEMENT L.L.C.	Hedge Fund-	Liquidity Fund-	Private Equity Fund27.8b	Real Estate Fund434.1m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund1.1b	Total Private Fund GAV29.3b	AUM68.4b	#Funds171
Adviser BROOKSIDE EQUITY PARTNERS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.4b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.4b	AUM1.4b	#Funds21
Adviser EVERSIDE CAPITAL PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund2.3b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund44.0m	Total Private Fund GAV2.3b	AUM2.3b	#Funds28
Adviser SANDLOT PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund753.6m	Real Estate Fund9.8m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund196.7m	Total Private Fund GAV960.1m	AUM916.6m	#Funds62
Adviser HARBOURVEST PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund191.3b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund9.8b	Total Private Fund GAV201.1b	AUM190.9b	#Funds502
Adviser GENERAL ATLANTIC SERVICE COMPANY, L.P.	Hedge Fund-	Liquidity Fund-	Private Equity Fund120.5b	Real Estate Fund115.3m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund3.7b	Total Private Fund GAV124.3b	AUM125.3b	#Funds448

Brochure Summary

Overview

Southfield Capital LP has been in business since 2012 and is principally owned by Andrew Levison. Southfield Mezzanine Associates, LLC, a related adviser, was formed in 2010 and is also principally owned by Andrew Levison. Together, Southfield Capital LP and Southfield Mezzanine Associates, LLC (“Southfield”) are investment managers to various private investment offerings. Southfield is a private investment firm that pursues equity investments and subordinated debt investments in U.S. based companies. Southfield seeks to acquire lower middle market companies and then scale them through a combination of organic and acquisition growth strategies through its private equity business and to provide debt financing and minority equity to similar businesses through its private debt business. As of the date of this brochure, Southfield is the investment advisor of private funds offered to qualified investors including, Southfield Capital II LP, Southfield Capital III LP, Southfield Freeze LP, Southfield Mezzanine Capital LP, Southfield Mezzanine Capital II LP, and Southfield Protos Annex Fund LP (each a “Fund” and together with their applicable parallel vehicles and Co- Investment Vehicles, the “Funds”). Southfield Mezzanine Capital LP and Southfield Mezzanine Capital II LP are licensed as an SBIC by the US Small Business Administration. The Funds pursue debt and control equity investments in growth-oriented lower middle-market companies with EBITDA

typically between $3 million and $20 million in the North American private company universe. Southfield’s mezzanine debt team aims to provide leverage enhanced returns to its investors by utilizing low-cost debt through the US Small Business Administration’s Small Business Investment Company program. The debt team uses this low-cost capital to provide financing for US based businesses across a broad base of industries. Investors and potential investors in the Funds should consult the Funds’ offering documents, including the Limited Partnership Agreements and Private Placement Memorandums, for a complete discussion of the Funds and the risk factors associated with each Fund. Southfield may also, from time to time (and when consistent with the Funds’ governing documents), establish, on a transaction-by-transaction basis, certain investment vehicles through which certain persons may invest alongside one or more Main Funds in a particular investment opportunity (each such vehicle, a “Co-Investment Vehicle”). Co-Investment Vehicles are typically, but not always, limited to investing in securities relating to the transaction with respect to which they were organized. As of December 31, 2023, Southfield has approximately $1.5 Billion in assets under management, all of which are managed on a discretionary basis. For additional discussion of the Funds, and their investment objectives and risks, please see response to Item 8.

SOUTHFIELD CAPITAL LP

Adviser Profile

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Brochure Summary

Overview