Investment adviser · CRD 285145

BATTLEFIN ASSET MANAGEMENT, LLC

Investment adviser filing (IA)

ROWAYTON, CT, United States · Form ADV filed Mar 6, 2017

Regulatory AUM
$161M
Form ADV · Item 5.F
Client accounts
6
Accounts, not individual clients
Employees
7
Reported in this filing
Advisory professionals
4
Investment advisory functions

Private funds & service providers

2 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.

BATTLEFIN MULTI-STRATEGY FUNDS, LLC BATTLEFIN INCUBATOR FUND SERIESHedge Fund · Last reported Mar 6, 2017$3MGross asset value
Fund administrator ESSENTIAL FUND SERVICES INTERNATIONAL, LLC TARRYTOWN, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG NEW YORK, New York, United States
Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No
Prime broker APEX CLEARING CORPORATION NEW YORK, New York, United States
Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States
Prime broker WEEDEN PRIME SERVICES, LLC. GREENWICH, Connecticut, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

INTERACTIVE BROKERS LLC
SEC 8-47257

APEX CLEARING CORPORATION
CRD 13071 · SEC 8-23522

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

WEEDEN PRIME SERVICES, LLC.
CRD 146103 · SEC 8-67787

Fund details & source
Fund ID
805-4542137943
Reported beneficial owners
1
Minimum commitment
$250K
Form D file number
021-223535

Form ADV 1081598 · Mar 6, 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.

BATTLEFIN MULTI-STRATEGY FUNDS, LLC BATTLEFIN VP THETA FUND SERIESHedge Fund · Last reported Mar 6, 2017$2MGross asset value
Fund administrator ESSENTIAL FUND SERVICES INTERNATIONAL, LLC TARRYTOWN, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG NEW YORK, New York, United States
Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No
Prime broker APEX CLEARING CORPORATION NEW YORK, New York, United States
Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States
Prime broker WEEDEN PRIME SERVICES, LLC. GREENWICH, Connecticut, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

INTERACTIVE BROKERS LLC
SEC 8-47257

APEX CLEARING CORPORATION
CRD 13071 · SEC 8-23522

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

WEEDEN PRIME SERVICES, LLC.
CRD 146103 · SEC 8-67787

Fund details & source
Fund ID
805-8732242472
Reported beneficial owners
1
Minimum commitment
$250K
Form D file number
021-223535

Form ADV 1081598 · Mar 6, 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.

Services & filing details

Most recent filing: Mar 6, 2017. View historical filings

Reported services

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

Compensation

Percentage of assets · Performance-based

Principal office

143 ROWAYTON AVENUE
ROWAYTON, CT, 06853, United States

CRD 285145

Filing source

Form ADV 1081598 · Mar 6, 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.