ALPHAONE INVESTMENT SERVICES, LLC – investment adviser, $273M 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
Investment companies	2	$105,841,004	38.7%
Pooled investment vehicles	5	$75,581,382	27.6%
Charities	5	$72,425,791	26.5%
Retirement plans	Fewer than 5	$11,013,099	4.0%
Individuals	12	$4,473,501	1.6%
Corporations & businesses	Fewer than 5	$4,155,392	1.5%

Filing source

Form ADV 1289291 · Mar 31, 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

3 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.

ALPHAONE SATORI MASTER FUND LTD.Hedge Fund · Last reported Mar 31, 2019$92.5MGross asset value

Feeder funds

ALPHAONE SATORI FUND I L.P.
ALPHAONE SATORI FUND LTD.

Fund administrator SEI GLOBAL SERVICES, INC. OAKS, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor EISNERAMPER PHILADELPHIA, New York, United States

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

Prime broker BTIG, 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

EISNERAMPER
PCAOB 274

GOLDMAN SACHS & CO. LLC
SEC 8-129

BTIG, LLC
CRD 122225 · SEC 8-65473

Fund details & source

Fund ID: 805-3558221747
Reported beneficial owners: 3
Minimum commitment: $500K
Form D file number: 021-70353

Form ADV 1289291 · Mar 31, 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.

ALPHAONE GLOBAL INNOVATIONS MASTER FUND, LTD.Hedge Fund · Last reported Mar 31, 2019$10.8MGross asset value

Feeder funds

ALPHAONE GLOBAL INNOVATIONS FUND, LP
ALPHAONE GLOBAL INNOVATIONS FUND LTD.

Fund administrator SEI GLOBAL SERVICES, INC OAKS, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor EISNERAMPER PHILADELPHIA, Pennsylvania, United States

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

Prime broker BTIG, 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

EISNERAMPER
PCAOB 274

GOLDMAN SACHS & CO. LLC
SEC 8-129

BTIG, LLC
CRD 122225 · SEC 8-65473

Fund details & source

Fund ID: 805-1097367195
Reported beneficial owners: 3
Minimum commitment: $250K
Form D file number: 021-188733

Form ADV 1289291 · Mar 31, 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.

ALPHAONE ESSENTIALS GLOBAL FUND, L.P.Hedge Fund · Last reported Sep 23, 2013$14.8MGross asset value

Form D fundraising filings

AlphaOne Essentials Global Fund, LP

Fund administrator CREDERIAN FUND SERVICES LLC MEDIA, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP PHILADELPHIA, Pennsylvania, United States

Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No

Marketer MID ATLANTIC CAPITAL CORPORATION PITTSBURGH, Pennsylvania, United States Related to adviser: No

Prime broker CREDIT SUISSE SECURITIES (USA) 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

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

MID ATLANTIC CAPITAL CORPORATION
CRD 10674 · SEC 8-27663

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

Fund details & source

Fund ID: 805-3145743319
Reported beneficial owners: 18
Minimum commitment: $250K
Form D file number: 021-153931

Form ADV 757981 · Sep 23, 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.

Services & filing details

Most recent filing: Mar 31, 2019. 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

1000 CHESTERBROOK. BLVD., SUITE 100-A
BERWYN, PA, 19312, United States

CRD 149146

Filing source

Form ADV 1289291 · Mar 31, 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.