Investment adviser · CRD 107825

BALESTRA CAPITAL LTD

Investment adviser filing (IA)

BALESTRA CAPITAL, LTD.

NEW YORK, NY, United States · Form ADV filed Mar 27, 2017

Regulatory AUM
$124M
Form ADV · Item 5.F
Client accounts
3
Accounts, not individual clients
Employees
4
Reported in this filing
Advisory professionals
2
Investment advisory functions

Private funds & service providers

4 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.

BALESTRA CAPITAL PARTNERS, L.P.Hedge Fund · Last reported Mar 27, 2017$88MGross asset value
Fund administrator DB FUND SERVICES LLC NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP BOSTON, Massachusetts, United States
Custodian BANK OF NEW YORK NEW YORK, New York, United States Related to adviser: No
Custodian NORTHERN TRUST CHICAGO, Illinois, United States Related to adviser: No
Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker UBS SECURITIES 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

UBS SECURITIES LLC
SEC 8-22651

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source
Fund ID
805-5418898304
Reported beneficial owners
34
Minimum commitment
$500K
Form D file number
021-90704

Form ADV 1085011 · Mar 27, 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.

BALESTRA SPECTRUM PARTNERS L.L.C.Hedge Fund · Last reported Mar 27, 2017$31MGross asset value

Form D fundraising filings

BALESTRA SPECTRUM PARTNERS LLC

Fund administrator DB FUND SERVICES LLC NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP BOSTON, Massachusetts, United States
Custodian NORTHERN TRUST CHICAGO, Illinois, United States Related to adviser: No
Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker UBS SECURITIES 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

UBS SECURITIES LLC
SEC 8-22651

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source
Fund ID
805-2642777377
Reported beneficial owners
24
Minimum commitment
$500K
Form D file number
021-251495

Form ADV 1085011 · Mar 27, 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.

BG CAYMAN FUND LIMITEDHedge Fund · Last reported Mar 21, 2013$33MGross asset value
Fund administrator BNY MELLON FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG GRAND CAYMAN, Cayman Islands
Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No
Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Marketer MAN INVESTMENTS (CH) AG PFAFFIKON SZ, Switzerland Related to adviser: No
Marketer MAN INVESTMENTS INC. NEW YORK, New York, United States Related to adviser: No
Marketer MAN INVESTMENTS (UK) LIMITED LONDON, United Kingdom Related to adviser: No
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Prime broker UBS SECURITIES 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

GOLDMAN, SACHS & CO.
SEC 8-129

UBS SECURITIES LLC
SEC 8-22651

MAN INVESTMENTS INC.
CRD 15770 · SEC 8-32575

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

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source
Fund ID
805-3638024488
Reported beneficial owners
16
Minimum commitment
$100K

Form ADV 702523 · Mar 21, 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.

BALESTRA SPECTRUM PARTNERS II, LLCHedge Fund · Last reported Dec 3, 2015$0Gross asset value

Form D fundraising filings

Balestra Spectrum Partners II, LLC

Feeder funds

  • BALESTRA SPECTRUM PARTNERS, LTD.
Fund administrator DB FUND SERVICES LLC BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP BOSTON, Massachusetts, United States
Custodian NORTHERN TRUST CHICAGO, Illinois, United States Related to adviser: No
Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker UBS SECURITIES 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

UBS SECURITIES LLC
SEC 8-22651

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source
Fund ID
805-7144655524
Reported beneficial owners
0
Minimum commitment
$2M
Form D file number
021-137763

Form ADV 960671 · Dec 3, 2015 · 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 27, 2017. View historical filings

Reported services

Individual portfolio management · Pooled investment vehicle management · Selection of other advisers

Compensation

Percentage of assets · Performance-based

Principal office

58 WEST 40 STREET, 12TH FLOOR
NEW YORK, NY, 10018, United States

CRD 107825

Filing source

Form ADV 1085011 · Mar 27, 2017 · 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.