ARENA CAPITAL ADVISORS: Investment Adviser Form ADV Filing

How this adviser has changed

Annual filings

Regulatory assets under management

Up to five fiscal years, using the latest annual update available at the selected filing date. Asset changes can reflect acquisitions, client flows, and valuations; they are not investment returns.

Annual adviser history and sources
Fiscal year	Regulatory AUM	Employees	Filed
2021	$3,452,765,178	21	Mar 30, 2022

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	25	$2,430,645,802	70.4%
Retirement plans	4	$576,983,234	16.7%
Insurance companies	4	$445,136,142	12.9%

Filing source

Form ADV 1632090 · Mar 30, 2022 · Item 5.D

Reported by ARENA CAPITAL ADVISORS LLC (CRD 170313).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Private funds & service providers

1 selected fund records

Largest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.

View all funds in this filing

ARENA SHORT DURATION HIGH YIELD FUND, L.P. - SERIES BHedge Fund · Master$68.9MGross asset value

Search Form D filings →

Fund administrator CITCO FUND ADMINISTRATION (CAYMAN ISLANDS) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Auditor KPMG LOS ANGELES, California, United States Other funds reporting this name →

Custodian WELLS FARGO BANK NATIONAL ASSOCIATION COLUMBIA, Maryland, United States Related to adviser: No Other funds reporting this name →

Prime broker PERSHING PRIME SERVICES JERSEY CITY, New Jersey, United States Other funds reporting this name →

Provider details

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

KPMG
PCAOB 185

Fund details & source

Fund ID: 805-3771214005
Reported beneficial owners: 22
Minimum commitment: $200K
Form D file number: 021-21758701
Form D file number: 021-28219802

Form ADV 1632090 · Mar 30, 2022 · Schedule D 7.B.(1)

Reported by ARENA CAPITAL ADVISORS LLC (CRD 170313).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Services & filing details

Showing values from the selected filing. Latest observed filing does not establish current registration status.

What changed?

No comparable changes in the displayed metrics.

Filing source

Form ADV 1632090 · Mar 30, 2022 · Items 1 & 5

Reported by ARENA CAPITAL ADVISORS LLC (CRD 170313).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Management of assets

Discretionary: $3.45B
Non-discretionary: $0

Reported services

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

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

12121 WILSHIRE BLVD, SUITE 1010
LOS ANGELES, CA, 90025, United States

CRD 170313

Filing source

Form ADV 1632090 · Mar 30, 2022 · Items 1 & 5

Reported by ARENA CAPITAL ADVISORS LLC (CRD 170313).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.