Investment adviser · CRD 135746

BERENS CAPITAL MANAGEMENT, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 29, 2018

Regulatory AUM: $485M
Client accounts: 6
Employees: 8
Advisory professionals: 6

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
Pooled investment vehicles	6	$485,094,764	100.0%

Filing source

Form ADV 1195653 · Mar 29, 2018 · 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

14 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.

BERENS GLOBAL VALUE FUND (QP), LPHedge Fund · Last reported Mar 29, 2018$223MGross asset value

Fund administrator CITCO FUND ADMINISTRATION LIMITED CAMANA BAY, GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP NEW YORK, New York, United States

Custodian NORTHERN TRUST NEW YORK, New York, United States Related to adviser: No

Marketer STIFEL, NICOLAUS & COMPANY, INCORPORATED ST LOUIS, Missouri, United States Related to adviser: No

Provider details

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

DELOITTE & TOUCHE LLP
PCAOB 34

STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD 793 · SEC 801-10746

Fund details & source

Fund ID: 805-7783987779
Reported beneficial owners: 133
Minimum commitment: $1M
Form D file number: 021-65492

Form ADV 1195653 · Mar 29, 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.

BERENS GLOBAL VALUE FUND, LTD.Hedge Fund · Last reported Mar 29, 2018$172MGross asset value

Fund administrator CITCO FUND ADMINISTRATION LIMITED CAMANA BAY, GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP NEW YORK, New York, United States

Custodian NORTHERN TRUST NEW YORK, New York, United States Related to adviser: No

Marketer STIFEL, NICOLAUS & COMPANY, INCORPORATED ST. LOUIS, Missouri, United States Related to adviser: No

Provider details

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

DELOITTE & TOUCHE LLP
PCAOB 34

STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD 793 · SEC 801-10746

Fund details & source

Fund ID: 805-2833947755
Reported beneficial owners: 44
Minimum commitment: $1M
Form D file number: 021-63549

Form ADV 1195653 · Mar 29, 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.

BERENS CAPITAL ASIA (EX-JAPAN) LLCHedge Fund · Last reported Mar 29, 2018$48.2MGross asset value

Form D fundraising filings

BERENS CAPITAL ASIA (EX-JAPAN) LLC

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

Auditor MARCUM LLP MELVILLE, New York, United States

Custodian FIRST REPUBLIC BANK NEW YORK, New York, 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

MARCUM LLP
PCAOB 688

Fund details & source

Fund ID: 805-3370262348
Reported beneficial owners: 37
Minimum commitment: $1M
Form D file number: 021-105430

Form ADV 1195653 · Mar 29, 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.

BERENS AFRICAN DEVELOPMENT PARTNERS I ACCESS FUND, LPPrivate Equity Fund · Last reported Mar 29, 2018$36.4MGross asset value

Fund administrator STATE STREET GLOBAL SERVICES NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG CAYMAN ISLANDS GRAND CAYMAN, Cayman Islands

Custodian FIRST REPUBLIC BANK NEW YORK, New York, 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 CAYMAN ISLANDS
PCAOB 1323

Fund details & source

Fund ID: 805-4187283821
Reported beneficial owners: 60
Minimum commitment: $1M
Form D file number: 021-115713

Form ADV 1195653 · Mar 29, 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.

BERENS CAPITAL PARTNERS, LPHedge Fund · Last reported Mar 29, 2018$3.96MGross asset value

Form D fundraising filings

BERENS CAPITAL PARTNERS, L.P.

Fund administrator CITCO FUND ADMINISTRATION LIMITED CAMANA BAY, GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP NEW YORK, New York, United States

Custodian NORTHERN TRUST NEW YORK, New York, 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

DELOITTE & TOUCHE LLP
PCAOB 34

Fund details & source

Fund ID: 805-5389272948
Reported beneficial owners: 34
Minimum commitment: $1M
Form D file number: 021-43891

Form ADV 1195653 · Mar 29, 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.

BERENS CAPITAL FUND, LTDHedge Fund · Last reported Mar 29, 2018$1.84MGross asset value

Form D fundraising filings

BERENS CAPITAL FUND, LTD.

Fund administrator CITCO FUND ADMINISTRATION LIMITED CAMANA BAY, GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP NEW YORK, New York, United States

Custodian NORTHERN TRUST NEW YORK, New York, 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

DELOITTE & TOUCHE LLP
PCAOB 34

Fund details & source

Fund ID: 805-8866734163
Reported beneficial owners: 15
Minimum commitment: $1M
Form D file number: 021-43680

Form ADV 1195653 · Mar 29, 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.

BERENS CAPITAL ERISA FUND, LTDHedge Fund · Last reported Aug 29, 2017$109MGross asset value

Form D fundraising filings

BERENS CAPITAL ERISA FUND, LTD.

Fund administrator CITCO FUND ADMINISTRATION LIMITED CAMANA BAY, GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP NEW YORK, New York, United States

Custodian NORTHERN TRUST NEW YORK, New York, 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

Fund details & source

Fund ID: 805-6732216353
Reported beneficial owners: 8
Minimum commitment: $1M
Form D file number: 021-126047

Form ADV 1127809 · Aug 29, 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 29, 2018. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

745 FIFTH AVENUE, 6TH FLOOR
NEW YORK, NY, 10151, United States

CRD 135746

Filing source

Form ADV 1195653 · Mar 29, 2018 · 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.