Investment adviser · CRD 126450

CALDWELL ASSET MANAGEMENT INC.

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 30, 2012

Regulatory AUM
$26.4M
Form ADV · Item 5.F
Client accounts
18
Accounts, not individual clients

Not available in this filing: Employees, Advisory professionals.

Private funds & service providers

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

CALDWELL ADVANTAGE, L.P.Other Private Fund · Last reported Mar 30, 2012$14MGross asset value
Fund administrator STEVE MASKOWITZ, CPA TARRYTOWN, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor THORNTONROSEN, SEYMOUR, SHAPSS, MARTIN & COMPANY LLP NEW YORK, New York, United States
Custodian PERSHING LLC NEW YORK, New York, United States Related to adviser: No
Prime broker JEFFERIES & COMPANY, INC. JERSEY CITY, New Jersey, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

PERSHING LLC
SEC 8-17574

JEFFERIES & COMPANY, INC.
CRD 2347 · SEC 8-15074

Fund details & source
Fund ID
805-7569130425
Reported beneficial owners
8
Minimum commitment
$250K
Form D file number
021-80537

Form ADV 630662 · Mar 30, 2012 · 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 30, 2012. View historical filings

Reported services

Individual portfolio management · Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

450 PARK AVE, STE 1900
NEW YORK, NY, 10022, United States

CRD 126450

Filing source

Form ADV 630662 · Mar 30, 2012 · 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.