Investment adviser · CRD 154254

CANDLEWOOD INVESTMENT GROUP, LP

Investment adviser filing (IA)

NEW FAIRFIELD, CT, United States · Form ADV filed Jul 1, 2020

Regulatory AUM: $185M
Client accounts: 11
Employees: 7
Advisory professionals: 3

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	11	$185,116,000	100.0%

Filing source

Form ADV 1442403 · Jul 1, 2020 · 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

17 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.

CANDLEWOOD CONSTELLATION SPC LTD. - CANDLEWOOD PUERTO RICO SPHedge Fund · Last reported Jul 1, 2020$70MGross asset value

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

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Marketer FIRST REPUBLIC SECURITIES COMPANY, LLC SAN FRANCISCO, California, United States Related to adviser: No

Marketer UBS FINANCIAL SERVICES INC. WEEHAWKEN, New Jersey, United States Related to adviser: No

Marketer WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC ST. LOUIS, Missouri, United States Related to adviser: No

Marketer WELLS FARGO CLEARING SERVICES, LLC ST. LOUIS, Missouri, United States Related to adviser: No

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

KPMG
PCAOB 185

J.P. MORGAN SECURITIES LLC
SEC 8-35008

FIRST REPUBLIC SECURITIES COMPANY, LLC
CRD 105108 · SEC 8-52973

UBS FINANCIAL SERVICES INC.
CRD 8174 · SEC 801-7163

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD 11025 · SEC 801-57434

WELLS FARGO CLEARING SERVICES, LLC
CRD 19616 · SEC 801-37967

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

Fund details & source

Fund ID: 805-2915352317
Reported beneficial owners: 88
Minimum commitment: $250K
Form D file number: 021-225418

Form ADV 1442403 · Jul 1, 2020 · 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.

CANDLEWOOD SPV III L.P.Private Equity Fund · Last reported Jul 1, 2020$38.9MGross asset value

Form D fundraising filings

Candlewood SPV III L.P.

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

Auditor KPMG GRAND CAYMAN, Cayman Islands

Provider details

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

KPMG
PCAOB 185

Fund details & source

Fund ID: 805-2991343659
Reported beneficial owners: 46
Minimum commitment: $250K
Form D file number: 021-216899

Form ADV 1442403 · Jul 1, 2020 · 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.

CANDLEWOOD SPECIAL SITUATIONS MASTER FUND II, L.P.Private Equity Fund · Last reported Jul 1, 2020$23MGross asset value

Feeder funds

CANDLEWOOD SPECIAL SITUATIONS FUND, L.P. - CLASS II
CANDLEWOOD SPECIAL SITUATIONS FUND, LTD. - CLASS II
CANDLEWOOD SPECIAL SITUATIONS INTERMEDIATE FUND, L.P. - CLASS II

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

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian STATE STREET BANK AND TRUST COMPANY KANSAS CITY, Missouri, United States Related to adviser: No

Marketer MORGAN STANLEY PURCHASE, New York, United States Related to adviser: No

Marketer WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC ST. LOUIS, Missouri, United States Related to adviser: No

Marketer WELLS FARGO CLEARING SERVICES, LLC 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

KPMG
PCAOB 185

MORGAN STANLEY
CRD 149777 · SEC 801-70103

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD 11025 · SEC 801-57434

WELLS FARGO CLEARING SERVICES, LLC
CRD 19616 · SEC 801-37967

Fund details & source

Fund ID: 805-3465159478
Reported beneficial owners: 86
Minimum commitment: $500K
Form D file number: 021-107864
Form D file number: 021-129995

Form ADV 1442403 · Jul 1, 2020 · 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.

FLAGLER MASTER FUND SPC LTD. - CLASS B SEGREGATED PORTFOLIOHedge Fund · Last reported Jul 1, 2020$6.29MGross asset value

Feeder funds

FLAGLER OFFSHORE FUND LTD.

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

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Provider details

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

KPMG
PCAOB 185

J.P. MORGAN SECURITIES LLC
SEC 8-35008

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

Fund details & source

Fund ID: 805-9666090935
Reported beneficial owners: 7
Minimum commitment: $1M
Form D file number: 021-219149
Form D file number: 021-219150

Form ADV 1442403 · Jul 1, 2020 · 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.

CWD SUMMIT, LLC - CANDLEWOOD RENEWABLE ENERGY SERIES IPrivate Equity Fund · Last reported Jul 1, 2020$187KGross asset value

Form D fundraising filings

CWD Summit, LLC

Fund administrator CITCO FUND SERVICES (USA) INC. JERSEY CITY, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP NEW YORK, New York, United States

Provider details

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

KPMG LLP
PCAOB 185

Fund details & source

Fund ID: 805-7013382686
Reported beneficial owners: 8
Minimum commitment: $1M
Form D file number: 021-274135

Form ADV 1442403 · Jul 1, 2020 · 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.

CANDLEWOOD STRUCTURED CREDIT HARVEST MASTER FUND, LTD.Hedge Fund · Last reported May 10, 2018$870MGross asset value

Feeder funds

CANDLEWOOD STRUCTURED CREDIT HARVEST FUND, LP
CANDLEWOOD STRUCTURED CREDIT HARVEST FUND, LTD
CANDLEWOOD STRUCTURED CREDIT HARVEST INTERMEDIATE FUND, LP

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

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian CANTOR FITZGERALD & CO. NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian STATE STREET BANK AND TRUST COMPANY KANSAS CITY, Missouri, United States Related to adviser: No

Marketer BLUE SAND SECURITIES LLC SCOTTSDALE, Arizona, United States Related to adviser: No

Marketer FAR HILLS GROUP, LLC. NEW YORK, New York, United States Related to adviser: No

Marketer FIRST LIBERTIES FINANCIAL NEW YORK, New York, United States Related to adviser: No

Marketer KPG CAPITAL PARTNERS, LLC PARK CITY, Utah, United States Related to adviser: No

Marketer MORGAN STANLEY PURCHASE, New York, United States Related to adviser: No

Marketer UBS FINANCIAL SERVICES INC. WEEHAWKEN, New Jersey, United States Related to adviser: No

Marketer WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC ST. LOUIS, Missouri, United States Related to adviser: No

Marketer WELLS FARGO CLEARING SERVICES, LLC ST. LOUIS, Missouri, United States Related to adviser: No

Prime broker CANTOR FITZGERALD & CO. NEW YORK, New York, United States

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

KPMG
PCAOB 185

CANTOR FITZGERALD & CO.
SEC 8-201

J.P. MORGAN SECURITIES LLC
SEC 8-35008

BLUE SAND SECURITIES LLC
CRD 142976 · SEC 8-67514

FAR HILLS GROUP, LLC.
CRD 32243 · SEC 8-45675

FIRST LIBERTIES FINANCIAL
CRD 14432 · SEC 8-30673

KPG CAPITAL PARTNERS, LLC
CRD 165392 · SEC 8-69158

MORGAN STANLEY
CRD 149777 · SEC 801-70103

UBS FINANCIAL SERVICES INC.
CRD 8174 · SEC 801-7163

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD 11025 · SEC 801-57434

WELLS FARGO CLEARING SERVICES, LLC
CRD 19616 · SEC 801-37967

CANTOR FITZGERALD & CO.
CRD 134 · SEC 8-201

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

Fund details & source

Fund ID: 805-7442683787
Reported beneficial owners: 211
Minimum commitment: $5M
Form D file number: 021-182773
Form D file number: 021-184298

Form ADV 1217180 · May 10, 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.

CANDLEWOOD STRUCTURED CREDIT OPPORTUNITY MASTER FUND A, L.P.Private Equity Fund · Last reported May 10, 2018$86.3MGross asset value

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

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian CANTOR FITZGERALD & CO. NEW YORK, New York, United States Related to adviser: No

Prime broker CANTOR FITZGERALD & CO. NEW YORK, New York, United States

Provider details

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

KPMG
PCAOB 185

CANTOR FITZGERALD & CO.
SEC 8-201

CANTOR FITZGERALD & CO.
CRD 134 · SEC 8-201

Fund details & source

Fund ID: 805-6694831665
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 1217180 · May 10, 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: Jul 1, 2020. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

10 BAY DRIVE
NEW FAIRFIELD, CT, 06812, United States

CRD 154254

Filing source

Form ADV 1442403 · Jul 1, 2020 · 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.