Investment adviser · CRD 143880

BALTER CAPITAL MANAGEMENT LLC

Investment adviser filing (IA)

BOSTON, MA, United States · Form ADV filed Jun 11, 2019

Regulatory AUM: $695M
Client accounts: 22
Employees: 12
Advisory professionals: 4

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	3	$375,074,000	54.0%
High-net-worth individuals	14	$155,974,000	22.4%
Corporations & businesses	3	$148,270,000	21.3%
Charities	Fewer than 5	$15,535,000	2.2%

Filing source

Form ADV 1328887 · Jun 11, 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

8 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.

BALTER '40 ACT CAPITAL ALTERNATIVES, L.P.Hedge Fund · Last reported Apr 30, 2018$30.2MGross asset value

Form D fundraising filings

Founders' Series, a series of Balter '40 Act Capital Alternatives, L.P.

Fund administrator NAV CONSULTING, INC. OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP BOSTON, Massachusetts, United States

Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, 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

KPMG LLP
PCAOB 185

Fund details & source

Fund ID: 805-2599719283
Reported beneficial owners: 2
Minimum commitment: $500K
Form D file number: 021-207492

Form ADV 1213914 · Apr 30, 2018 · 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.

BCM DISCOVERY FUND LPHedge Fund · Last reported Apr 30, 2018$23.9MGross asset value

Form D fundraising filings

BCM DISCOVERY FUND LP

Fund administrator DB ALTERNATIVE FUND SERVICES BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP BOSTON, Massachusetts, United States

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

Custodian FIDELITY BROKERAGE SERVICES LLC DALLAS, Texas, United States Related to adviser: No

Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, 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

KPMG LLP
PCAOB 185

FIDELITY BROKERAGE SERVICES LLC
SEC 8-23292

Fund details & source

Fund ID: 805-2079923742
Reported beneficial owners: 39
Minimum commitment: $1M
Form D file number: 021-128505

Form ADV 1213914 · Apr 30, 2018 · 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.

BCM DISCOVERY OFFSHORE FUND LTDHedge Fund · Last reported Apr 30, 2018$16.9MGross asset value

Form D fundraising filings

BCM DISCOVERY OFFSHORE FUND LTD

Fund administrator DB ALTERNATIVE FUND SERVICES BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP BOSTON, Massachusetts, United States

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS JACKSONVILLE, Florida, United States Related to adviser: No

Custodian FIDELITY BROKERAGE SERVICES LLC DALLAS, Texas, 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

KPMG LLP
PCAOB 185

FIDELITY BROKERAGE SERVICES LLC
SEC 8-23292

Fund details & source

Fund ID: 805-9007031624
Reported beneficial owners: 12
Minimum commitment: $1M
Form D file number: 021-105598

Form ADV 1213914 · Apr 30, 2018 · 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.

BCM CREDIT OPPORTUNITIES OFFSHORE FUND LPHedge Fund · Last reported Apr 30, 2018$14MGross asset value

Form D fundraising filings

BCM Credit Opportunities Offshore Fund, L.P.

Fund administrator APEX FUND SERVICES, LLC CHARLOTTE, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP BOSTON, Massachusetts, United States

Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No

Custodian FIRST REPUBLIC SECURITIES COMPANY, LLC SAN FRANCISCO, California, 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

KPMG LLP
PCAOB 185

FIRST REPUBLIC SECURITIES COMPANY, LLC
SEC 8-52973

Fund details & source

Fund ID: 805-5678413129
Reported beneficial owners: 8
Minimum commitment: $500K
Form D file number: 021-141613

Form ADV 1213914 · Apr 30, 2018 · 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.

BCM CREDIT OPPORTUNITIES FUND LPHedge Fund · Last reported Apr 30, 2018$14MGross asset value

Form D fundraising filings

BCM CREDIT OPPORTUNITIES FUND LP

Fund administrator APEX FUND SERVICES, LLC CHARLOTTE, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP BOSTON, Massachusetts, United States

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

Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No

Custodian FIRST REPUBLIC SECURITIES COMPANY, LLC SAN FRANCISCO, California, 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

KPMG LLP
PCAOB 185

FIRST REPUBLIC SECURITIES COMPANY, LLC
SEC 8-52973

Fund details & source

Fund ID: 805-1019579290
Reported beneficial owners: 19
Minimum commitment: $500K
Form D file number: 021-129531

Form ADV 1213914 · Apr 30, 2018 · 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.

DEXTER BALTER TE FUND LLCHedge Fund · Last reported Apr 30, 2018$10.6MGross asset value

Form D fundraising filings

Dexter Balter TE Fund LLC

Auditor KPMG LLP BOSTON, Massachusetts, United States

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

Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No

Provider details

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

KPMG LLP
PCAOB 185

Fund details & source

Fund ID: 805-6429121501
Reported beneficial owners: 1
Minimum commitment: $1M
Form D file number: 021-167154

Form ADV 1213914 · Apr 30, 2018 · 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.

DEXTER BALTER FUND LLCHedge Fund · Last reported Apr 30, 2018$7.71MGross asset value

Form D fundraising filings

Dexter Balter Fund LLC

Auditor KPMG LLP BOSTON, Massachusetts, United States

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

Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No

Provider details

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

KPMG LLP
PCAOB 185

Fund details & source

Fund ID: 805-4181862614
Reported beneficial owners: 1
Minimum commitment: $1M
Form D file number: 021-167146

Form ADV 1213914 · Apr 30, 2018 · 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 11, 2019. View historical filings

Reported services

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

Compensation

Percentage of assets · Fixed

Principal office

125 HIGH STREET, OLIVER STREET TOWER, SUITE 802
BOSTON, MA, 02110, United States

CRD 143880

Filing source

Form ADV 1328887 · Jun 11, 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.