3D/L CAPITAL MANAGEMENT, LLC – investment adviser, $574M regulatory AUM (Form ADV)

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Individuals	748	$212,704,639	37.0%
High-net-worth individuals	86	$177,339,802	30.9%
Government entities	Fewer than 5	$165,029,689	28.7%
Retirement plans	8	$11,882,721	2.1%
Charities	11	$7,156,380	1.2%

Filing source

Form ADV 1790495 · Dec 22, 2023 · Item 5.D

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

Private funds & service providers

2 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.

LEE DIVERSIFIED OPPORTUNITIES MASTER FUND LPHedge Fund · Last reported May 2, 2017$179MGross asset value

Feeder funds

LEE DIVERSIFIED OPPORTUNITIES FUND LP

Fund administrator SS&C TECHNOLOGIES, INC. YORKTOWN HEIGHTS, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLC NEW YORK, New York, United States

Custodian BBVA COMPASS BANCSHARES, INC. HOUSTON, Texas, United States Related to adviser: No

Custodian CITIBANK, N.A. NEW YORK, New York, United States Related to adviser: No

Custodian INTERACTIVE BROKERS CORP. CHICAGO, Illinois, United States Related to adviser: No

Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Prime broker INTERACTIVE BROKERS CORP. CHICAGO, Illinois, United States

Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. 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

INTERACTIVE BROKERS CORP.
SEC 8-53615

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

INTERACTIVE BROKERS CORP.
CRD 117942 · SEC 8-53615

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Fund details & source

Fund ID: 805-4634820692
Reported beneficial owners: 1
Minimum commitment: $1M

Form ADV 1113050 · May 2, 2017 · 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.

LEE ADAPTIVE STRATEGIES LPHedge Fund · Last reported May 2, 2017$11.5MGross asset value

Form D fundraising filings

Lee Adaptive Strategies LP

Fund administrator SS&C TECHNOLOGIES, INC. YORKTOWN HEIGHTS, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP NEW YORK, New York, United States

Custodian BANK OF AMERICA, NATIONAL ASSOCIATION CHICAGO, Illinois, United States Related to adviser: No

Custodian THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION JERSEY CITY, New Jersey, 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: 805-1811172856
Reported beneficial owners: 7
Minimum commitment: $1M
Form D file number: 021-266810

Form ADV 1113050 · May 2, 2017 · 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: Dec 22, 2023. View historical filings

Reported services

Financial planning · Individual portfolio management · Pooled investment vehicle management · Business portfolio management · Pension consulting

Compensation

Percentage of assets

Principal office

100 CONSTITUTION PLAZA, 7TH FLOOR
HARTFORD, CT, 06103-1703, United States

CRD 283304

Filing source

Form ADV 1790495 · Dec 22, 2023 · 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.