Investment adviser · CRD 107695
CARL MARKS MANAGEMENT COMPANY, LLC
Investment adviser filing (IA)
NEW YORK, NY, United States · Form ADV filed Aug 13, 2026
- Regulatory AUM
- $374M Form ADV · Item 5.F
- Client accounts
- 4 Accounts, not individual clients
- Employees
- 8 Reported in this filing
- Advisory professionals
- 6 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Pooled investment vehicles | 4 | $374,463,634 | 100.0% |
Filing source
Form ADV 2122408 · Aug 13, 2026 · 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
5 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
CARL MARKS STRATEGIC INVESTMENTS, L.P.Hedge Fund · Last reported Aug 13, 2026$197MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
EISNERAMPER LLP
PCAOB 274
BOENNING & SCATTERGOOD, INC.
SEC 8-15543
JP MORGAN CHASE BANK NA
LEI 7H6GLXDRUGQFU57RNE97
SAFRA NATIONAL BANK OF NEW YORK
LEI 8HWWA59ZS6Z54QLX6S15
Fund details & source
- Fund ID
- 805-4998860556
- Reported beneficial owners
- 42
- Minimum commitment
- $5M
Form ADV 2122408 · Aug 13, 2026 · 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.
CARL MARKS STRATEGIC OPPORTUNITIES FUND IV, L.P.Hedge Fund · Last reported Aug 13, 2026$66MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
EISNERAMPER LLP
PCAOB 274
SAFRA SECURITIES LLC
SEC 8-51935
Fund details & source
- Fund ID
- 805-7354950628
- Reported beneficial owners
- 24
- Minimum commitment
- $5M
Form ADV 2122408 · Aug 13, 2026 · 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.
CARL MARKS STRATEGIC OPPORTUNITIES FUND III, L.P.Hedge Fund · Last reported Aug 13, 2026$30MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
EISNERAMPER LLP
PCAOB 274
JP MORGAN CHASE BANK NA
LEI 7H6GLXDRUGQFU57RNE97
Fund details & source
- Fund ID
- 805-8287929642
- Reported beneficial owners
- 29
- Minimum commitment
- $5M
Form ADV 2122408 · Aug 13, 2026 · 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.
CARL MARKS STRATEGIC OPPORTUNITIES FUND II, LPHedge Fund · Last reported Aug 13, 2026$3.1MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
EISNERAMPER LLP
PCAOB 274
JP MORGAN CHASE BANK NA
LEI 7H6GLXDRUGQFU57RNE97
Fund details & source
- Fund ID
- 805-6996469336
- Reported beneficial owners
- 50
- Minimum commitment
- $5M
Form ADV 2122408 · Aug 13, 2026 · 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.
CARL MARKS STRATEGIC OPPORTUNITIES FUND, L.P.Hedge Fund · Last reported Mar 28, 2018$12.1MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
EISNERAMPER LLP
PCAOB 274
BOENNING & SCATTERGOOD, INC.
SEC 8-15543
Fund details & source
- Fund ID
- 805-1161615883
- Reported beneficial owners
- 58
- Minimum commitment
- $5M
Form ADV 1191077 · Mar 28, 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: Aug 13, 2026. View historical filings
Reported services
Pooled investment vehicle management
Compensation
Percentage of assets · Performance-based
Principal office
900 THIRD AVENUE - 14TH FLOOR, SUITE 1400NEW YORK, NY, 10022, United States
CRD 107695
Filing source
Form ADV 2122408 · Aug 13, 2026 · 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.