Investment adviser · CRD 137841

ALPHAGEN CAPITAL LIMITED

Investment adviser filing (IA)

LONDON, United Kingdom · Form ADV filed Nov 25, 2019

Regulatory AUM: $2.09B
Client accounts: 16
Employees: 49
Advisory professionals: 36

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
Pooled investment vehicles	11	$1,866,558,998	89.4%
Corporations & businesses	Fewer than 5	$130,272,556	6.2%
Retirement plans	Fewer than 5	$89,914,771	4.3%

Filing source

Form ADV 1357467 · Nov 25, 2019 · 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

32 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.

THE ALPHAGEN CASTOR MASTER FUND LIMITEDHedge Fund · Last reported Nov 25, 2019$577MGross asset value

Feeder funds

THE ALPHAGEN CASTOR FUND LIMITED
THE ALPHAGEN CASTOR FUND LIMITED

Fund administrator JPMORGAN HEDGE FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GEORGE TOWN, Cayman Islands

Custodian JPMORGAN CHASE BANK, N.A. (JERSEY BRANCH) ST HELIER, Jersey Related to adviser: No

Marketer JANUS HENDERSON DISTRIBUTORS DENVER, Colorado, United States Related to adviser: Yes

Prime broker BARCLAYS BANK PLC LONDON, United Kingdom

Prime broker BNP PARIBAS, LONDON BRANCH LONDON, United Kingdom

Provider details

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

PRICEWATERHOUSECOOPERS
PCAOB 1266

JANUS HENDERSON DISTRIBUTORS
CRD 28832 · SEC 8-43810

Fund details & source

Fund ID: 805-9847300806
Reported beneficial owners: 5
Minimum commitment: $100K

Form ADV 1357467 · Nov 25, 2019 · 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 ALPHAGEN MULTI-STRATEGY MASTER FUND LIMITEDHedge Fund · Last reported Nov 25, 2019$310MGross asset value

Feeder funds

THE ALPHAGEN MULTI-STRATEGY FUND LIMITED

Fund administrator JPMORGAN HEDGE FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GEORGE TOWN, Cayman Islands

Custodian CREDIT SUISSE SECURITIES (EUROPE) LIMITED LONDON, United Kingdom Related to adviser: No

Custodian GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom Related to adviser: No

Marketer JANUS HENDERSON DISTRIBUTORS DENVER, Colorado, United States Related to adviser: Yes

Prime broker CREDIT SUISSE SECURITIES (EUROPE) LIMITED LONDON, United Kingdom

Prime broker GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom

Provider details

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

PRICEWATERHOUSECOOPERS
PCAOB 1266

JANUS HENDERSON DISTRIBUTORS
CRD 28832 · SEC 8-43810

Fund details & source

Fund ID: 805-1169807525
Reported beneficial owners: 8
Minimum commitment: $100K

Form ADV 1357467 · Nov 25, 2019 · 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 ALPHAGEN EUROPEAN BEST IDEAS FUND, LLCOther Private Fund · Last reported Nov 25, 2019$274MGross asset value

Fund administrator STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GEORGE TOWN, Cayman Islands

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Marketer JANUS HENDERSON DISTRIBUTORS DENVER, Colorado, United States Related to adviser: Yes

Provider details

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

PRICEWATERHOUSECOOPERS
PCAOB 1266

JANUS HENDERSON DISTRIBUTORS
CRD 28832 · SEC 8-43810

Fund details & source

Fund ID: 805-4996942299
Reported beneficial owners: 203
Minimum commitment: $1M
Form D file number: 021-220570

Form ADV 1357467 · Nov 25, 2019 · 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 ALPHAGEN CASTOR FUND LIMITEDHedge Fund · Last reported Dec 20, 2017$197MGross asset value

Feeder funds

THE ALPHAGEN CASTOR FUND LIMITED

Fund administrator JPMORGAN HEDGE FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GEORGE TOWN, Cayman Islands

Custodian JPMORGAN CHASE BANK, N.A. (JERSEY BRANCH) ST HELIER, Jersey Related to adviser: No

Prime broker BARCLAYS BANK PLC LONDON, United Kingdom

Prime broker BNP PARIBAS, LONDON BRANCH LONDON, United Kingdom

Provider details

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

PRICEWATERHOUSECOOPERS
PCAOB 1266

Fund details & source

Fund ID: 805-3480396702
Reported beneficial owners: 5
Minimum commitment: $100K

Form ADV 1158802 · Dec 20, 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.

OC 526 OFFSHORE FUND LTDHedge Fund · Last reported Nov 25, 2019$116MGross asset value

Form D fundraising filings

OC 526 OFFSHORE FUND Ltd

Fund administrator JPMORGAN HEDGE FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GRAND CAYMAN, Cayman Islands

Custodian JPMORGAN CHASE BANK NA 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

PRICEWATERHOUSECOOPERS
PCAOB 1266

Fund details & source

Fund ID: 805-1498264362
Reported beneficial owners: 15
Minimum commitment: $100K
Form D file number: 021-196145

Form ADV 1357467 · Nov 25, 2019 · 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 ALPHAGEN CAPELLA FUND LIMITEDHedge Fund · Last reported Nov 25, 2019$102MGross asset value

Fund administrator JPMORGAN HEDGE FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GEORGE TOWN, Cayman Islands

Custodian DEUTSCHE BANK AG LONDON, United Kingdom Related to adviser: No

Custodian GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom Related to adviser: No

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

Custodian MORGAN STANLEY & CO. INTERNATIONAL PLC LONDON, United Kingdom Related to adviser: No

Marketer JANUS HENDERSON DISTRIBUTORS DENVER, Colorado, United States Related to adviser: Yes

Prime broker DEUTSCHE BANK AG LONDON, United Kingdom

Prime broker GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom

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

Prime broker MORGAN STANLEY & CO. INTERNATIONAL PLC LONDON, United Kingdom

Provider details

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

PRICEWATERHOUSECOOPERS
PCAOB 1266

JANUS HENDERSON DISTRIBUTORS
CRD 28832 · SEC 8-43810

Fund details & source

Fund ID: 805-9806794320
Reported beneficial owners: 29
Minimum commitment: $100K
Form D file number: 021-120536

Form ADV 1357467 · Nov 25, 2019 · 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 ALPHAGEN OCTANIS FUND LIMITEDHedge Fund · Last reported Nov 25, 2019$51MGross asset value

Fund administrator JPMORGAN HEDGE FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GEORGE TOWN, Cayman Islands

Custodian BARCLAYS BANK PLC LONDON, United Kingdom Related to adviser: No

Custodian CREDIT SUISSE SECURITIES (EUROPE) LIMITED LONDON, United Kingdom Related to adviser: No

Custodian UBS AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: No

Marketer JANUS HENDERSON DISTRIBUTORS DENVER, Colorado, United States Related to adviser: Yes

Prime broker BARCLAYS BANK PLC LONDON, United Kingdom

Prime broker CREDIT SUISSE SECURITIES (EUROPE) LIMITED LONDON, United Kingdom

Prime broker UBS AG, LONDON BRANCH LONDON, United Kingdom

Provider details

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

PRICEWATERHOUSECOOPERS
PCAOB 1266

JANUS HENDERSON DISTRIBUTORS
CRD 28832 · SEC 8-43810

Fund details & source

Fund ID: 805-6584353772
Reported beneficial owners: 18
Minimum commitment: $100K
Form D file number: 021-120183

Form ADV 1357467 · Nov 25, 2019 · 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: Nov 25, 2019. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

201 BISHOPSGATE
LONDON, EC2M 3AE, United Kingdom

CRD 137841

Filing source

Form ADV 1357467 · Nov 25, 2019 · 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.