9AT: STRATEGIC INCOME MANAGEMENT, LLC

STRATEGIC INCOME MANAGEMENT, LLC

other names

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Adviser Profile

As of Date	03/26/2025
Adviser Type - Large advisory firm - An investment adviser (or subadviser) to an investment company
Number of Employees	7 40.00%
of those in investment advisory functions	3
Registration	SEC, Approved, 08/30/2010

AUM^*	2,745,178,839 56.92%
of that, discretionary	2,745,178,839 56.92%
Private Fund GAV^*	0
Avg Account Size	457,529,807 30.77%
SMA’s	Yes
Private Funds	0
Contact Info	206 xxxxxxx
Websites

Client Types

- Investment companies
- Pooled investment vehicles
- State or municipal government entities
- Insurance companies
- Sovereign wealth funds and foreign official institutions

Advisory Activities

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

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

2B 2B 1B 1B 757M 505M 252M

2015 2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker302301AE6	Stock NameEZCORP INC	$ Position$9,511,500	% Position18.00%	$ Change-19.00%	# Change-20.00%
Stck TickerY7542C130	Stock NameSCORPIO TANKERS INC SHS	$ Position$7,155,151	% Position14.00%	$ Change15.00%	# Change0.00%
Stck Ticker435763107	Stock NameHOLLY ENERGY PARTNERS L P COM	$ Position$6,589,625	% Position13.00%	$ Change-3.00%	# Change-18.00%
Stck Ticker035710839	Stock NameANNALY CAPITAL MANAGEMENT INC	$ Position$6,375,311	% Position12.00%	$ Change26.00%	# Change34.00%
Stck Ticker91680MAB3	Stock NameUPSTART HLDGS INC	$ Position$5,740,831	% Position11.00%	$ Change-58.00%	# Change-57.00%
Stck TickerY48125101	Stock NameKNOT OFFSHORE PARTNERS LP UNIT	$ Position$3,155,139	% Position6.00%	$ Change	# Change
Stck Ticker55336V100	Stock NameMPLX LP UNIT REP LTD	$ Position$3,112,375	% Position6.00%	$ Change	# Change
Stck Ticker91680MAB3	Stock NameUPSTART HLDGS INC	$ Position$2,028,119	% Position4.00%	$ Change99.00%	# Change105.00%
Stck Ticker302301AE6	Stock NameEZCORP INC	$ Position$1,678,500	% Position3.00%	$ Change-21.00%	# Change-22.00%
Stck Ticker035710839	Stock NameANNALY CAPITAL MANAGEMENT INC	$ Position$1,819,077	% Position3.00%	$ Change242.00%	# Change264.00%

Brochure Summary

Overview

SiM provides fixed income high yield investment advisory services to institutional clients such as mutual funds, and pension plans. We began operations on October 1, 2010. Our principals have many years of experience in the investment management industry. Our owners are Gary Pokrzywinski, Brian Placzek, Tim Black, Ryan Larson, and Kevin Power. Types of advisory services we offer. SiM manages accounts for institutions on a discretionary basis, which means that SiM makes the decisions with respect to which securities to buy or sell for SiM’s clients’ accounts. Currently, SiM acts as subadvisor for a mutual fund (the “Registered Fund”) registered under the Investment Company Act of 1940, as amended (the “Company Act”), as subadvisor

for two European Collective Investment Funds (the “EU Funds”), and as a separate account manager for three institutions (the “Separate Accounts”). The Registered Fund, the EU Funds, and the Separate Accounts are collectively referred to as “Clients.” Each Client follows a fixed income high yield strategy managed by our high yield investment team. The high yield investment team makes and executes investment decisions on behalf of our Clients. SiM tailors its investment advice to individual client needs on a case-by-case basis. Requests for specific restrictions on investment are entertained on an as-needed basis. As of December 31, 2023, SiM managed $1,916.74 million for institutional clients. All of these accounts are discretionary.