9AT: BROADOAK ASSET MANAGEMENT, LLC

other names

BROADOAK ASSET MANAGEMENT, LLC
BROADOAK ADVISORS
POINTOAK ADVISORS, LLC
POINTOAK ADVISORS

Adviser Profile

As of Date	03/26/2026
ADV Location	BETHESDA, MD, United States
Adviser Type - Large advisory firm
Number of Employees	10
of those in investment advisory functions	9
Registration	SEC, Approved, 07/23/2021
Other registrations (1)	Maryland, Terminated, 12/01/2022

AUM^*	519,004,574 -13%
of that, discretionary	519,004,574 -13%
Private Fund GAV^*	363,001,677 1%
Avg Account Size	57,667,175 16%
SMA’s	No
Private Funds	10
Contact Info	301 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

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

Fund Type	Count	GAV
Fund TypePrivate Equity Fund	Count8	GAV$346,547,508
Fund TypeVenture Capital Fund	Count1	GAV$6,184,169
Fund TypeOther Private Fund	Count1	GAV$10,270,000

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 AHOY CAPITAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund447.9m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund92.4m	Other Fund-	Total Private Fund GAV632.8m	AUM540.3m	#Funds10
Adviser WEST RIM CAPITAL ASSOCIATES II, L.P.	Hedge Fund-	Liquidity Fund-	Private Equity Fund1.1b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund571.0m	Other Fund-	Total Private Fund GAV2.2b	AUM1.7b	#Funds24
Adviser VENTURE INVESTMENT ASSOCIATES	Hedge Fund-	Liquidity Fund-	Private Equity Fund515.5m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund121.3m	Other Fund-	Total Private Fund GAV758.1m	AUM636.8m	#Funds14
Adviser 1CONFIRMATION	Hedge Fund-	Liquidity Fund-	Private Equity Fund747.7m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund176.0m	Other Fund36.4m	Total Private Fund GAV1.1b	AUM860.0m	#Funds12
Adviser FIFTH PARTNERS MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund318.3m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund73.3m	Other Fund-	Total Private Fund GAV464.9m	AUM391.6m	#Funds15
Adviser STEPSTONE GROUP LP	Hedge Fund477.6k	Liquidity Fund-	Private Equity Fund92.1b	Real Estate Fund5.0m	Securitized Asset Fund-	Venture Capital Fund8.5b	Other Fund123.3m	Total Private Fund GAV109.3b	AUM95.6b	#Funds558
Adviser MOTIVE CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund4.9b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund638.1m	Other Fund-	Total Private Fund GAV6.1b	AUM5.4b	#Funds43
Adviser HONY CAPITAL LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund3.4b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund105.0m	Other Fund-	Total Private Fund GAV3.6b	AUM-	#Funds7
Adviser JAGUAR CAPITAL ADVISORS USA, LLC	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 MIC CAPITAL MANAGEMENT UK LLP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-

Brochure Summary

Overview

FIRM DESCRIPTION BroakOak Asset Management LLC (“BroadOak” or the “Firm”) is organized as a Delaware limited liability company. BroadOak’s current business activities consist of providing investment advisory services to pooled investment vehicles. Our Firm is wholly owned by BroadOak Capital Partners, LLC. BroadOak Capital Partners is majority owned by William Snider and Donald Wilson with Lars Hanan and Research Corporation Technologies, Inc. sharing a minority position. TYPES OF ADVISORY SERVICES BroadOak Asset Management, LLC (“BroadOak”) is an investment manager focused exclusively on the life sciences sector. It was formed and is operated to manage private pooled investment funds with a narrow investment focus. BroadOak’s managing partner is William Snider. BroadOak Asset Management, LLC has been in operation since 2009, and is wholly owned by BroadOak Capital Partners, LLC. BroadOak Asset Management, LLC provides discretionary investment management services to U.S.-based private investment pools. In providing such services, BroadOak implements investment strategies based on evaluating life sciences, research tools, pharmaceutical, biotechnology, healthcare services

and other companies in the healthcare sector. Such strategies may include, within the healthcare sector and subject to each client’s investment program, investments in the securities of U.S. public and private companies. In providing its investment advisory services, BroadOak determines when and which investments will be acquired, disposed of, or exchanged on behalf of its clients to maintain a portfolio consistent with the Fund’s objectives. BroadOak seeks to invest primarily in growth- stage life sciences companies seeking debt or minority equity financing. Due to the nature of its business, BroadOak does not tailor its advisory services to the needs of individual clients and does not permit clients to impose restrictions upon investments in certain types of securities. ASSETS UNDER MANAGEMENT When calculating regulatory assets under management, an Investment Adviser must include the value of any private fund over which it exercises continuous and regular supervisory or management services. As noted above, BroadOak’s only clients are their private funds. As of December 31st, 2023, BroadOak manages $370,973,419 on a discretionary basis and $0 on a non-discretionary basis.

BROADOAK ASSET MANAGEMENT, LLC

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