Investment adviser · CRD 107325

300 NORTH CAPITAL

Investment adviser filing (IA)

300 NORTH CAPITAL, LLC

PASADENA, CA, United States · Form ADV filed Apr 1, 2015

Regulatory AUM
$487M
Form ADV · Item 5.F
Client accounts
16
Accounts, not individual clients
Employees
12
Reported in this filing
Advisory professionals
4
Investment advisory functions

Private funds & service providers

5 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

300 NORTH CAPITAL SMALL CAP INVESTMENT FUNDOther Private Fund · Last reported Apr 1, 2015$69.6MGross asset value
Fund administrator BNY MELLON TRUST OF DELAWARE EVERETT, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor GRANT THORNTON LLP NEW YORK, New York, United States
Custodian BNY MELLON EVERETT, Massachusetts, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-7144305007
Reported beneficial owners
3
Minimum commitment
$5M

Form ADV 904364 · Apr 1, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

300 NORTH CAPITAL GLOBAL MACRO FUND, LLCHedge Fund · Last reported Apr 1, 2015$20.9MGross asset value

Form D fundraising filings

300 North Capital Global Macro Fund, LLC

Fund administrator DEUTSCHE BANK ALTERNATIVE FUND SERVICES SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP LOS ANGELES, California, United States
Custodian U. S. BANK INSTITUTIONAL TRUST & CUSTODY PORTLAND, Oregon, United States Related to adviser: No
Marketer ABARIS TRADING, LLC CHICAGO, Illinois, United States Related to adviser: No
Marketer CUTTER & COMPANY, INC. BALLWIN, Missouri, United States Related to adviser: No
Marketer FUSION ANALYTICS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Marketer J.P. TURNER & COMPANY, L.L.C. ATLANTA, Georgia, United States Related to adviser: No
Prime broker GOLDMAN, SACHS & CO. JERSEY CITY, New Jersey, United States
Prime broker JEFFERIES BACHE SECURITIES, LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

CUTTER & COMPANY, INC.
CRD 22449 · SEC 801-62329

FUSION ANALYTICS SECURITIES LLC
CRD 124245 · SEC 8-65649

J.P. TURNER & COMPANY, L.L.C.
CRD 43177 · SEC 8-50156

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

JEFFERIES BACHE SECURITIES, LLC
CRD 127733 · SEC 8-66040

Fund details & source
Fund ID
805-5454689903
Reported beneficial owners
40
Minimum commitment
$100K
Form D file number
021-145783

Form ADV 904364 · Apr 1, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

300 NORTH CAPITAL GLOBAL MACRO FUND, LTDHedge Fund · Last reported Apr 1, 2015$17.7MGross asset value
Fund administrator DEUTSCHE BANK ALTERNATIVE FUND SERVICES SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP LOS ANGELES, California, United States
Custodian U.S. BANK INSTITUTIONAL TRUST & CUSTODY PORTLAND, Oregon, United States Related to adviser: No
Marketer ABARIS TRADING, LLC CHICAGO, Illinois, United States Related to adviser: No
Prime broker GOLDMAN, SACHS & CO. JERSEY CITY, New Jersey, United States
Prime broker JEFFERIES BACHE SECURITIES, LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

JEFFERIES BACHE SECURITIES, LLC
CRD 127733 · SEC 8-66040

Fund details & source
Fund ID
805-9494849270
Reported beneficial owners
12
Minimum commitment
$100K

Form ADV 904364 · Apr 1, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

300 NORTH CAPITAL GLOBAL MACRO FUND II, LLCHedge Fund · Last reported Apr 1, 2015$16.6MGross asset value

Form D fundraising filings

300 North Capital Global Macro Fund II, LLC

Fund administrator DEUTSCHE BANK ALTERNATIVE FUND SERVICES SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP LOS ANGELES, California, United States
Custodian U. S. BANK INSTITUTIONAL TRUST & CUSTODY PORTLAND, Oregon, United States Related to adviser: No
Marketer ABARIS TRADING, LLC CHICAGO, Illinois, United States Related to adviser: No
Marketer CUTTER & COMPANY, INC. BALLWIN, Missouri, United States Related to adviser: No
Marketer FUSION ANALYTICS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Marketer J.P. TURNER & COMPANY, L.L.C. ATLANTA, Georgia, United States Related to adviser: No
Prime broker GOLDMAN, SACHS & CO. JERSEY CITY, New Jersey, United States
Prime broker JEFFERIES BACHE SECURITIES, LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

CUTTER & COMPANY, INC.
CRD 22449 · SEC 801-62329

FUSION ANALYTICS SECURITIES LLC
CRD 124245 · SEC 8-65649

J.P. TURNER & COMPANY, L.L.C.
CRD 43177 · SEC 8-50156

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

JEFFERIES BACHE SECURITIES, LLC
CRD 127733 · SEC 8-66040

Fund details & source
Fund ID
805-4597399017
Reported beneficial owners
23
Minimum commitment
$100K
Form D file number
021-189203

Form ADV 904364 · Apr 1, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

300 NORTH CAPITAL LONG/SHORT FUND, LLCHedge Fund · Last reported Sep 26, 2012$20.1MGross asset value

Form D fundraising filings

300 NORTH CAPITAL LONG/SHORT FUND, LLC

Fund administrator DEUTSCHE BANK ALTERNATIVE FUND SERVICES SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE AND TOUCHE LLP LOS ANGELES, California, United States
Custodian GOLDMAN SACHS EXECUTION & CLEARING, L.P. NEW YORK, New York, United States Related to adviser: No
Prime broker SAXIS GROUP, LLC. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

GOLDMAN SACHS EXECUTION & CLEARING, L.P.
SEC 8-526

SAXIS GROUP, LLC.
CRD 146103 · SEC 8-67787

Fund details & source
Fund ID
805-4548703949
Reported beneficial owners
4
Minimum commitment
$100K
Form D file number
021-125320

Form ADV 671792 · Sep 26, 2012 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Apr 1, 2015. View historical filings

Reported services

Individual portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

300 NORTH LAKE AVE., SUITE #210
PASADENA, CA, 91101, United States

CRD 107325

Filing source

Form ADV 904364 · Apr 1, 2015 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.