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Fund Snapshot

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About Fund Manager

Vivek Ganguly (Fund Manager )

Vivek Ganguly holds an MBA in Finance From Calcutta University and BA From Nagpur University and he has experience of over 22 years in investment management he was a principal at the Global Environment Fund and Fund manager at Quantum Asset management before joining Nine Rivers Capital. Vivek has a deep understanding of the financial and operational parts of different Businesses and had a blend of public and private equity investing.

Sandeep Daga – Founder, MD & CIO, Nine Rivers Capital

Sandeep Daga is a B.E. in Engineering graduate from Amravati University. He completed his master’s in management studies and finance from SVKM’s Narsee Monjee Institute.

Daga founded Nine Rivers Capital and has worked as the MD & CIO since 2007. Before Nine Rivers Capital, Sandeep Daga worked at ICICI Venture as a Head of B2B Investments. From 2000 to 2006, he was the director at Frontline Strategy, an India-centric PE firm. The PE Funds, which were advised by frontline, delivered top-quartile returns in five years, under the leadership of Sandeep Baga.

Investment Philosophy

  • Nine Rivers Capital – Aurum Small Cap Opportunities fund has created a proprietary system that is used to allocate an “entry price guardrail” and an “exit price guardrail” for each stock that has been accepted for investment. The “Price Guardrail Strategy” is a proprietary strategy of Nine Rivers Capital and is used as an effective tool for risk mitigation.
  • Nine Rivers Capital – Aurum Small Cap Opportunities fund assumes that the most successful risk reduction approach in small and mid-cap investing is to “not overpay” for a stock, so they apply the aforementioned guardrails to each stock.

 

Investment Objective 

The fund strategically blends both Alpha Drivers and Steady Performers to build a robust portfolio of small-cap stocks with high growth potential and solid fundamentals. By capitalizing on both disruptive opportunities and stable growth businesses, the Aurum Small Cap Opportunities Fund seeks to optimize risk-adjusted returns for investors.

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Fund Overview

The Aurum Small Cap Opportunities Fund focuses on identifying and investing in high-potential small-cap companies that demonstrate strong growth drivers. The fund aims to consistently deliver winners by leveraging two key investment themes: Alpha Drivers and Steady Performers.

Alpha Drivers
This category includes companies experiencing non-linear triggers for business and earnings momentum. Key factors driving growth in these businesses include:

  • Macro tailwinds are influenced by policy changes, regulatory shifts, and demographic trends.
  • Transformative management changes include professional leadership transitions and next-generation entrepreneurs taking over.
  • Business turnaround stories with significant recovery potential.
  • Disruptive trends reshaping industries and creating new opportunities.

Steady Performers
This segment focuses on companies with sustainable growth potential backed by strong business fundamentals. These businesses are characterized by:

  • Large scope for profitable expansion.
  • Proven management teams with an excellent execution track record.
  • Consistent earnings quality and stability.
  • Strong cash flow generation and healthy return ratios.

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FAQ's

  1. 1. What is the core approach of the Aurum Small Cap Opportunities strategy?
    A long-only, bottom-up stock selection focusing on high-growth small-cap companies with strong fundamentals, scalable models, and attractive valuations to drive capital appreciation.
  2. 3. How has the fund performed since inception?
    It has delivered a 25.49% CAGR, outperforming the S&P BSE 500 TRI’s 13.77%. A ₹1 crore investment then would be worth approximately ₹15.9 crores by February 2025.
  3. 5. Can you share some successful investments?
    Investments like Mrs. Bectors Food Specialities, Tejas Networks, and Voltamp Transformers have shown strong post-investment growth driven by favorable trends.
  4. 7. Who is responsible for managing the fund?
    A 2% annual management fee plus 20% performance fee on returns exceeding a 10% hurdle, charged at redemption or after 5 years.
  5. 9. Who leads the fund management?
    Led by MD & CIO Sandeep Daga, with support from Senior Portfolio Manager Pragati Khadse, Portfolio Manager Kunal Sabnis, and other analysts.
  1. 2. Which sectors does the fund invest in?
    Consumer Discretionary, IT/Tech, Industrials, Healthcare & Pharma, Defence & Aerospace, and BFSI, focusing on companies with strong growth and effective management.
  2. 4. What are the main risks involved?
    The fund invests exclusively in secured loans, holds a CRISIL AA- rating, and the sponsor contributes 6% of capital to absorb initial lossesPrice volatility, liquidity constraints, and portfolio concentration are primary risks, managed via price guardrails, profit booking, and exposure limits.
  3. 6. What is the minimum investment amount?
    ₹1 crore.
  4. 8. What is the recommended holding period?
    At least 5 years, with the fund’s term extending up to 10 years.

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