ASA MANAGED ACCOUNT MANAGERS LLC – investment adviser, $1.12B 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
High-net-worth individuals	199	$646,003,000	57.9%
Investment companies	17	$241,184,000	21.6%
Corporations & businesses	Fewer than 5	$176,509,000	15.8%
Charities	10	$49,486,000	4.4%
Pooled investment vehicles	1	$2,479,000	0.2%

Filing source

Form ADV 2116305 · Jun 29, 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

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.

TRANSITIONAL FUNDING PARTNERS L.P.Other Private Fund · Last reported Jun 29, 2026$25.2MGross asset value

Form D fundraising filings

Transitional Funding Partners, L.P.

Fund administrator ALTERNATIVE STRATEGY ADVISERS LLC MINNEAPOLIS, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor WITHUMSMITH+BROWN, PC PRINCETON, New Jersey, United States

Custodian CHARLES SCHWAB & CO., INC. SAN FRANCISCO, California, United States Related to adviser: No

Custodian TRADITION CAPITAL BANK EDINA, Minnesota, United States Related to adviser: No

Custodian WELLS FARGO N.A. MINNEAPOLIS, Minnesota, United States Related to adviser: No

Prime broker CHARLES SCHWAB & CO., INC. DENVER, Colorado, United States

Provider details

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

WITHUMSMITH+BROWN, PC
PCAOB 100

CHARLES SCHWAB & CO., INC.
SEC 8-16514

CHARLES SCHWAB & CO., INC.
CRD 5393 · SEC 8-16514

Fund details & source

Fund ID: 805-5563586382
Reported beneficial owners: 10
Minimum commitment: $1M
Form D file number: 021-213866

Form ADV 2116305 · Jun 29, 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.

ASA TAX ADVANTAGED RELATIVE VALUE FUND L.P.Hedge Fund · Last reported May 20, 2019$10.7MGross asset value

Fund administrator ALTERNATIVE STRATEGY ADVISERS LLC MINNETONKA, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor KPMG LLP MINNEAPOLIS, Minnesota, United States

Custodian CHARLES SCHWAB & CO., INC. SAN FRANCISCO, California, United States Related to adviser: No

Custodian R.J. O'BRIEN SECURITIES, LLC CHICAGO, Illinois, United States Related to adviser: No

Custodian US BANK INSTITUTIONAL TRUST & CUSTODY MINNEAPOLIS, Minnesota, United States Related to adviser: No

Custodian WELLS FARGO N.A. MINNEAPOLIS, Minnesota, United States Related to adviser: No

Prime broker CHARLES SCHWAB & CO., INC. SAN FRANCISCO, California, United States

Provider details

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

KPMG LLP
PCAOB 185

CHARLES SCHWAB & CO., INC.
SEC 8-16514

R.J. O'BRIEN SECURITIES, LLC
SEC 8-67587

CHARLES SCHWAB & CO., INC.
CRD 5393 · SEC 8-16514

Fund details & source

Fund ID: 805-6007818369
Reported beneficial owners: 9
Minimum commitment: $500K
Form D file number: 021-1257006

Form ADV 1324316 · May 20, 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.

ASA MUNICIPAL CONVERGENCE FUND L.P.Hedge Fund · Last reported Mar 30, 2016$8.1MGross asset value

Fund administrator ALTERNATIVE STRATEGY ADVISERS LLC MINNETONKA, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor KPMG LLP MINNEAPOLIS, Minnesota, United States

Custodian NEWEDGE USA, LLC CHICAGO, Illinois, United States Related to adviser: No

Custodian R.J. O'BRIEN SECURITIES, LLC CHICAGO, Illinois, United States Related to adviser: No

Custodian WELLS FARGO SECURITIES, LLC CHARLOTTE, North Carolina, United States Related to adviser: No

Prime broker CHARLES SCHWAB & CO., INC. SAN FRANCISCO, California, United States

Provider details

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

NEWEDGE USA, LLC
SEC 8-47023

R.J. O'BRIEN SECURITIES, LLC
SEC 8-67587

WELLS FARGO SECURITIES, LLC
SEC 8-65876

CHARLES SCHWAB & CO., INC.
CRD 5393 · SEC 8-16514

Fund details & source

Fund ID: 805-8975219312
Reported beneficial owners: 6
Minimum commitment: $1M

Form ADV 1003024 · Mar 30, 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.

Services & filing details

Most recent filing: Jun 29, 2026. View historical filings

Reported services

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

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

600 HIGHWAY 169 SOUTH, SUITE 1735
MINNEAPOLIS, MN, 55426-1221, United States

CRD 162855

Filing source

Form ADV 2116305 · Jun 29, 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.