Fund ManageMent

Financial ServiceS

2 Our approach

4 Fund ManageMent

6 Financial ServiceS

8 Our experience

Southridge is a diversified

financial holding company

offering a wide range of

products and services, including

investment management,

merchant banking, and

investment banking.

Southridge’s offerings are delivered

through two primary divisions.

Fund Management – Devoted to various

proprietary financial strategies and products,

including structured finance, quantitative

methods, and asset-based lending.

Financial Services – Providing investment

banking, asset management, and brokerage

products and services.

2 Southridge LLC Capabilities

Our integrated network of offerings presents

high net worth individuals and institutional

investors with a premium growth environment.

Flexible

reSpOnSive

reSilient

At Southridge, we strive to build long-term

relationships with our clients through a

methodology that includes assessing each

investor’s objectives and risk tolerances,

developing customized personal or

institutional investment strategies, and

executing with efficiency.

We partner with our investee companies by

building customized solutions that meet their

capital and operating needs. We do not rest

on past achievements, rather we prove our

commitment every day by continually looking

ahead at market trends and creating new

opportunities to deliver consistent returns.

StruCtureD tO reaLize CLient anD inveStOr ObjeCtiveS

4 Southridge LLC Capabilities

Southridge offers a group of

innovative proprietary investment

funds providing high net worth

individuals and institutional investors

unique areas for exceptional growth.

Southridge structures its funds to

achieve maximum returns with limited

downside risk in adverse conditions,

provides transparency at all times,

and executes with integrity.

Fund

ManageMent

Structured Finance

Southridge Partners L.P./Southshore Capital

Fund Ltd. specializes in offering creative

financing structures and investment capital to

global public issuers across diverse industries.

Product offerings and structures are distinct from

other funds. Transactions are structured in a way

which provides consistent, above-average returns

while balancing the needs of client companies.

aSSet-baSed Lending

Southridge Real Estate Partners, LP/Southshore

Real Estate Fund, Ltd. manages a portfolio

of secured real estate loans designed to take

advantage of evolving trends in the market.

Focusing on providing capital to non-traditional

structures, the Funds make short-term loans

secured by real estate, and provide professional

real estate investment loan management.

Quantitative MethodS

Double Alpha Group LLC is a quantitative trading

firm utilizing statistical arbitrage techniques

to generate risk-adjusted premium returns on the

long and short side while maintaining a near

market neutral portfolio. Proprietary quantitative

modeling enables this fund to identify pricing

inefficiencies, offering the opportunity for

instantaneous execution and profit when prices

revert to their historical relationship.

Southridge Market Neutral US, L.P. is

“Quantitative Market Neutral, but not as you

know Quant or Market Neutral.” Focusing on

what works and why, the strategy is objective

trend-following instead of subjective mean

reversion. Investing in US large/mid caps, the

strategy uses no leverage or factor hedging.

Nonetheless risk/return profile is similar to 6:1

leveraged market neutral funds, but with low

correlation and smaller footprint.

Participation in these funds is available to accredited investors only. the securities offered by each investment vehicle managed by Southridge and Double alpha Group LLC are speculative securities, and their purchase involves a high degree of risk. You should consider all risk factors before investing in any securities of any investment vehicle. Please refer to the “risk factors” section of the investment vehicle’s private placement memorandum.

these summaries are for informational purposes only and do not represent an offer to sell or a solicitation of an offer to buy interests in these funds. Such offerings can only be made through the private placement memorandum.

aLternative inveStMent StrateGieS

Financial

ServiceS

6 Southridge LLC Capabilities

Supporting our integrated suite

of financial services, our team

of sophisticated investment professionals

tailor personalized plans and

execute transactions that meet the

individual needs and risk tolerances

of each of our clients.

inveStMent banking

Southridge Investment Group LLC provides

investment banking products and services

to emerging growth, small and mid-sized

companies, as well as institutional investors.

Our offerings include:

Private Placements

Public offerings

Mergers & acquisitions

Financial advisory

restructuring and Workouts

valuations and Fairness opinions

recapitalizations

brokerage Services

research

aSSet ManageMent

Southridge Asset Management LLC is a

Registered Investment Advisor providing

consulting, advisory, and fee-based asset

and fund management services in the

following areas:

Managed accounts

asset allocation Strategies

Wealth Preservation and estate Planning

Fixed income Strategies

retirement Planning

insurance and annuities

education Funding

interCOnneCteD, FuLL–ServiCe inveStMent OPPOrtunitieS

Southridge investment Group LLC is an SeC registered broker/Dealer, Member Finra/SiPC.

Southridge asset Management LLC is an SeC registered investment advisor.

transactions are cleared through, and assets held by, Pershing LLC, a wholly-owned subsidiary of the bank of new York Mellon Corporation. Pershing is a Member Finra/SiPC.

together for a decade, Southridge’s

core executive team has refined

distinct financial strategies that

leverage our intuitive understanding

of the marketplace.

Southridge’s track record has been fueled by combining

extraordinary talent with highly personalized service.

Our dynamic cadre of investment managers, advisors,

and brokers consistently evaluate each client’s goals,

plan personal or institutional investment strategies, and

structure transactions designed to meet investment goals

while minimizing risks.

Partner with us and gain from our unique approach.

8 Southridge LLC Capabilities

as we continue to enhance our

capabilities, the success of our clients

remains our primary focus.

experienced

innOvative

individualized

Southridge currently manages

assets for an exclusive list

of high net worth individuals

and institutional investors,

and is actively creating

new growth opportunities

in established as well as

emerging financial channels.

contact us to learn more.

Southridge investment group LLc is an Sec registered broker/dealer, Member Finra/SiPc.

Southridge asset Management LLc is an Sec registered investment advisor.

executive Pavilion 90 grove Street ridgefield ct 06877 203 431 8300 fund management 203 431 8081 financial services

800 third avenue 9th Floor new York nY 10022 212 994 9870 fund management 212 508 2100 financial services

info@southridgellc.com | southridgellc.com

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