Investment adviser · CRD 110452

QS BATTERYMARCH FINANCIAL MANAGEMENT, INC.

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Dec 15, 2015

Regulatory AUM
$8.07B
Form ADV · Item 5.F
Client accounts
48
Accounts, not individual clients
Employees
57
Reported in this filing
Advisory professionals
20
Investment advisory functions

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.

BATTERYMARCH MARKET NEUTRAL FUND, LLCHedge Fund · Last reported Dec 15, 2015$11.3MGross asset value

Form D fundraising filings

QS Batterymarch Market Neutral Fund, LLC

Fund administrator BNY MELLON ALTERNATIVE INVESTMENT SERVICES DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian CREDIT SUISSE SECURITIES (EUROPE) LIMITED LONDON, United Kingdom Related to adviser: No
Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No
Prime broker CREDIT SUISSE SECURITIES (EUROPE) LIMITED LONDON, United Kingdom
Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States
Provider details
Annual audit
No
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

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

Fund details & source
Fund ID
805-7812108604
Reported beneficial owners
7
Minimum commitment
$5M
Form D file number
021-192793

Form ADV 962380 · Dec 15, 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.

BATTERYMARCH GLOBAL EMERGING MARKETS FUNDOther Private Fund · Last reported Dec 15, 2015$50.1KGross asset value

Form D fundraising filings

Batterymarch Global Emerging Markets Fund

Fund administrator CIM GLOBAL BUSINESS PORT LOUIS, Mauritius Investor statements: No (provided to no investors) Related to adviser: No
Fund administrator CITIBANK INTERNATIONAL PLC (LUXEMBOURG BRANCH) BERTRANGE, Luxembourg Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG S.A. MUNSBACH, Luxembourg
Custodian CITIBANK INTERNATIONAL PLC (LUXEMBOURG BRANCH) BERTRANGE, Luxembourg Related to adviser: No
Custodian HONG KONG AND SHANGHAI BANKING CORPORATION LIMITED EBENE CYBERCITY, Mauritius Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-2563644270
Reported beneficial owners
1
Minimum commitment
$25M
Form D file number
021-156715

Form ADV 962380 · Dec 15, 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.

BATTERYMARCH ASIA MASTER FUND, LPHedge Fund · Last reported Jan 6, 2014$25.7MGross asset value

Feeder funds

Fund administrator CITIBANK EUROPE PLC DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: No
Custodian DEUTSCHE BANK AG, NEW YORK BRANCH NEW YORK, New York, United States Related to adviser: No
Prime broker DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States
Provider details
Annual audit
No
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

Fund details & source
Fund ID
805-1247890235
Reported beneficial owners
2
Minimum commitment
$1M
Form D file number
021-159271
Form D file number
021-159272

Form ADV 775425 · Jan 6, 2014 · 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: Dec 15, 2015. 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

880 THIRD AVENUE, 7TH FLOOR
NEW YORK, NY, 10022, United States

CRD 110452

Filing source

Form ADV 962380 · Dec 15, 2015 · 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.