Investment adviser · CRD 113013

ADVENT CAPITAL MANAGEMENT, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 30, 2026

Regulatory AUM: $8.82B
Client accounts: 430
Employees: 58
Advisory professionals: 23

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
Insurance companies	26	$3,286,938,624	37.3%
Government entities	28	$2,819,462,524	32.0%
Investment companies	2	$950,264,111	10.8%
Pooled investment vehicles	8	$827,424,262	9.4%
Charities	5	$195,533,047	2.2%
Sovereign wealth & foreign institutions	Fewer than 5	$171,211,277	1.9%
Retirement plans	Fewer than 5	$159,581,045	1.8%
High-net-worth individuals	50	$145,463,422	1.6%
Corporations & businesses	Fewer than 5	$143,933,680	1.6%
Individuals	302	$119,646,046	1.4%

Filing source

Form ADV 2071405 · Mar 30, 2026 · 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

7 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.

ADVENT VEGA MASTER FUND, LPHedge Fund · Last reported Mar 30, 2026$376MGross asset value

Feeder funds

ADVENT VEGA (CAYMAN) FUND
ADVENT VEGA FUND, LP

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LIMITED GEORGETOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP GEORGETOWN, Cayman Islands

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN CLEARING CORP. NY, New York, United States Related to adviser: No

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker J.P. MORGAN CLEARING CORP. NY, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

GOLDMAN SACHS & CO. LLC
SEC 8-129

J.P. MORGAN CLEARING CORP.
SEC 8-43724

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

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source

Fund ID: 805-8671852532
Reported beneficial owners: 11
Minimum commitment: $3M

Form ADV 2071405 · Mar 30, 2026 · 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.

THE ADVENT GLOBAL OPPORTUNITY MASTER FUNDHedge Fund · Last reported Mar 24, 2016$80.3MGross asset value

Feeder funds

THE ADVENT GLOBAL OPPORTUNITY FUND
THE ADVENT GLOBAL OPPORTUNITY FUND OFFSHORE

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LIMITED GEORGETOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP GEORGE TOWN, Cayman Islands

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN CLEARING CORP. NY, New York, United States Related to adviser: No

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States

Prime broker J.P. MORGAN CLEARING CORP. NY, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

J.P. MORGAN CLEARING CORP.
SEC 8-43724

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source

Fund ID: 805-9923531206
Reported beneficial owners: 10
Minimum commitment: $3M
Form D file number: 021-121662

Form ADV 995279 · Mar 24, 2016 · 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.

THE ADVENT CONVERTIBLE ARBITRAGE (CAYMAN) FUND IIHedge Fund · Last reported Apr 18, 2013$50MGross asset value

Form D fundraising filings

Advent Convertible Arbitrage (Cayman) Fund II

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LIMITED GEORGETOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP GEORGETOWN, Cayman Islands

Custodian J.P. MORGAN CLEARING CORP. NY, New York, United States Related to adviser: No

Marketer HEPTAGON CAPITAL LIMITED GEORGETOWN, Cayman Islands Related to adviser: No

Marketer PAS ADVISORY SERVICES PTY LTD ABN SYDNEY, Australia Related to adviser: No

Prime broker J.P. MORGAN CLEARING CORP. NY, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

J.P. MORGAN CLEARING CORP.
SEC 8-43724

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source

Fund ID: 805-2459808090
Reported beneficial owners: 1
Minimum commitment: $3M
Form D file number: 021-139309

Form ADV 731439 · Apr 18, 2013 · 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.

ADVENT GLOBAL PARTNERS MASTER FUND, LPHedge Fund · Last reported Nov 25, 2024$17.2MGross asset value

Feeder funds

ADVENT GLOBAL PARTNERS (CAYMAN) FUND
ADVENT GLOBAL PARTNERS FUND, LP

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LIMITED GEORGETOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP GEORGETOWN, Cayman Islands

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN CLEARING CORP. NY, New York, United States Related to adviser: No

Marketer ROGERS INVESTMENT ADVISORS K.K. TOKYO, Japan Related to adviser: No

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States

Prime broker J.P. MORGAN CLEARING CORP. NY, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

J.P. MORGAN CLEARING CORP.
SEC 8-43724

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source

Fund ID: 805-7481419977
Reported beneficial owners: 9
Minimum commitment: $3M
Form D file number: 021-129145

Form ADV 1915759 · Nov 25, 2024 · 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.

THE ACM FUNDS, L.P.Other Private Fund · Last reported Apr 1, 2013$12.2MGross asset value

Feeder funds

THE ACM PHOENIX CONVERTIBLE FUND

Fund administrator SS&C FUND SERVICES NEW YORK, New York, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLC GEORGE TOWN, Cayman Islands

Custodian BANK OF AMERICA, N.A. NEW YORK, New York, 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: 805-5647174112
Reported beneficial owners: 17
Minimum commitment: $250K

Form ADV 718854 · Apr 1, 2013 · 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.

THE ACM PHOENIX CONVERTIBLE FUNDOther Private Fund · Last reported Mar 24, 2016$0Gross asset value

Fund administrator SS&C FUND SERVICES NEW YORK, New York, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLC GEORGE TOWN, Cayman Islands

Custodian BANK OF AMERICA, N.A. NEW YORK, New York, 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: 805-6226181942
Reported beneficial owners: 0
Minimum commitment: $250K

Form ADV 995279 · Mar 24, 2016 · 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.

THE ADVENT ENHANCED PHOENIX MASTER FUNDOther Private Fund · Last reported Feb 22, 2021$0Gross asset value

Feeder funds

THE ADVENT ENHANCED PHOENIX FUND
THE ENHANCED PHOENIX FUND OFFSHORE

Fund administrator CITCO FUND SERVICES (CAYMAN) GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GEORGETOWN, Cayman Islands

Custodian LEHMAN BROTHERS INTERNATIONAL EUROPE LONDON, United Kingdom Related to adviser: No

Prime broker LEHMAN BROTHERS INTERNATIONAL EUROPE LONDON, United Kingdom

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 238

Fund details & source

Fund ID: 805-8594987955
Reported beneficial owners: 2
Minimum commitment: $3M

Form ADV 1497631 · Feb 22, 2021 · 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: Mar 30, 2026. View historical filings

Reported services

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

Compensation

Percentage of assets · Performance-based

Principal office

888 SEVENTH AVENUE, 31ST FLOOR
NEW YORK, NY, 10019, United States

CRD 113013

Filing source

Form ADV 2071405 · Mar 30, 2026 · 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.