Investment adviser · CRD 106253

CLINTON GROUP, INC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Apr 28, 2023

Employees
0
Reported in this filing
Advisory professionals
0
Investment advisory functions

Not available in this filing: Regulatory AUM, Client accounts.

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
Other clientsFewer than 5$0Not reported
Filing source

Form ADV 1756050 · Apr 28, 2023 · 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

20 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.

ADIRONDACK 2005-2 LTDSecuritized Asset Fund · Last reported Sep 19, 2012$1.18BGross asset value
Fund administrator WALKERS SPV LIMITED GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian US BANK CHICAGO, Illinois, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-4780706265
Reported beneficial owners
1
Minimum commitment
$9.27M

Form ADV 670566 · Sep 19, 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.

CLINTON LIGHTHOUSE EQUITY STRATEGIES FUND (OFFSHORE), L.PHedge Fund · Last reported Jul 26, 2016$553MGross asset value
Fund administrator BNP PARIBAS FUND ADMINISTRATION SERVICES (CAYMAN) LIMITED NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE AND TOUCHE GEORGE TOWN, Cayman Islands
Custodian MORGAN STANLEY CAPITAL SERVICES LLC NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC NEW YORK, Nebraska, United States Related to adviser: No
Custodian MORGAN STANLEY PRIME BROKERAGE NEW YORK, New York, United States Related to adviser: No
Custodian PRIME DEALER SERVICES CORP. NEW YORK, New York, United States Related to adviser: No
Prime broker MORGAN STANLEY CAPITAL SERVICES LLC NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Prime broker MORGAN STANLEY PRIME BROKERAGE NEW YORK, New York, United States
Prime broker PRIME DEALER SERVICES CORP. 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

MORGAN STANLEY & CO. LLC
SEC 8-15869

PRIME DEALER SERVICES CORP.
SEC 8-47025

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

PRIME DEALER SERVICES CORP.
CRD 36142 · SEC 8-47025

Fund details & source
Fund ID
805-8497376674
Reported beneficial owners
24
Minimum commitment
$1M

Form ADV 1031391 · Jul 26, 2016 · 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.

ADIRONDACK 2005-1 LTDSecuritized Asset Fund · Last reported Mar 29, 2022$322MGross asset value
Fund administrator WALKERS SPV LIMITED GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian US BANK CHICAGO, Illinois, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-8664122393
Reported beneficial owners
1
Minimum commitment
$9.2M

Form ADV 1628882 · Mar 29, 2022 · 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.

SHINNECOCK CLO 2006-1 LTDSecuritized Asset Fund · Last reported Oct 8, 2014$238MGross asset value
Fund administrator MAPLES FINANCE LIMITED GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian BANK OF NEW YORK TRUST COMPANY NA PITTSBURGH, Pennsylvania, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-5818109198
Reported beneficial owners
1
Minimum commitment
$22.5M

Form ADV 848845 · Oct 8, 2014 · 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.

ERGOS OFFSHORE FUND LTDOther Private Fund · Last reported Nov 19, 2013$54.8MGross asset value
Fund administrator T2AM LLC MARINA DEL REY, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC NEW YORK, Nebraska, United States Related to adviser: No
Marketer SILVERLEAF PARNERS LLC NEW YORK, New York, United States Related to adviser: No
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
No
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-9432536136
Reported beneficial owners
1
Minimum commitment
$0

Form ADV 755452 · Nov 19, 2013 · 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.

CLINTON LIGHTHOUSE EQUITY STRATEGIES MASTER FUND LTDHedge Fund · Last reported Mar 29, 2018$33.2MGross asset value

Feeder funds

  • CLINTON LIGHTHOUSE EQUITY STRATEGIES FUND (OFFSHORE), LTD
Fund administrator BNP PARIBAS FUND ADMINISTRATION SERVICES (CAYMAN) LIMITED NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE AND TOUCHE GEORGE TOWN, Cayman Islands
Custodian MORGAN STANLEY CAPITAL SERVICES LLC NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY & CO. INTERNATIONAL PLC LONDON, United Kingdom Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC NEW YORK, Nebraska, United States Related to adviser: No
Custodian PRIME DEALER SERVICES CORP. NEW YORK, New York, United States Related to adviser: No
Prime broker MORGAN STANLEY CAPITAL SERVICES LLC NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. INTERNATIONAL PLC LONDON, United Kingdom
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Prime broker PRIME DEALER SERVICES CORP. 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

DELOITTE AND TOUCHE
PCAOB 1096

MORGAN STANLEY CAPITAL SERVICES LLC
LEI I7331LVCZKQKX5T7XV5

MORGAN STANLEY & CO. INTERNATIONAL PLC
LEI 4PQUHN3JPFGFNF3BB653

MORGAN STANLEY & CO. LLC
SEC 8-15869 · LEI 9R7GPTSO7KV3UQJZQ078

PRIME DEALER SERVICES CORP.
SEC 8-47025

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

PRIME DEALER SERVICES CORP.
CRD 36142 · SEC 8-47025

Fund details & source
Fund ID
805-6558363318
Reported beneficial owners
5
Minimum commitment
$1M

Form ADV 1162611 · 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.

CLINTON EQUITY STRATEGIES MASTER FUND LTDHedge Fund · Last reported Jan 30, 2020$27.6MGross asset value

Feeder funds

  • CLINTON EQUITY STRATEGIES FUND, L.P.
  • CLINTON EQUITY STRATEGIES FUND, LTD
Fund administrator BNP PARIBAS FUND ADMINISTRATION SERVICES (CAYMAN) LIMITED GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE AND TOUCHE GEORGE TOWN, Cayman Islands
Custodian MORGAN STANLEY CAPITAL SERVICES LLC NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY & CO. INTERNATIONAL PLC LONDON, United Kingdom Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Custodian NOMURA SECURITIES INTERNATIONAL N EW YORK, New York, United States Related to adviser: No
Custodian PRIME DEALER SERVICES CORP. NEW YORK, New York, United States Related to adviser: No
Marketer GREEN SHOOTS CAPITAL UK LTD` LONDON, United Kingdom Related to adviser: No
Marketer SYNAPTIC PARTNERS SA GENEVA, Switzerland Related to adviser: No
Prime broker MORGAN STANLEY CAPITAL SERVICES LLC NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. INTERNATIONAL PLC LONDON, United Kingdom
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Prime broker NOMURA SECURITIES INTERNATIONAL NEW YORK, New York, United States
Prime broker PRIME DEALER SERVICES CORP. 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

DELOITTE AND TOUCHE
PCAOB 1096

MORGAN STANLEY CAPITAL SERVICES LLC
LEI I7331LVCZKQKX5T7XV54

MORGAN STANLEY & CO. INTERNATIONAL PLC
LEI 4PQUHN3JPFGFNF3BB653

MORGAN STANLEY & CO. LLC
SEC 8-15869 · LEI 9R7GPTSO7KV3UQJZQ078

PRIME DEALER SERVICES CORP.
SEC 8-47025

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

PRIME DEALER SERVICES CORP.
CRD 36142 · SEC 8-47025

Fund details & source
Fund ID
805-9851277529
Reported beneficial owners
13
Minimum commitment
$1M
Form D file number
021-96531
Form D file number
021-96831

Form ADV 1375012 · Jan 30, 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.

Services & filing details

Most recent filing: Apr 28, 2023. View historical filings

Reported services

Not reported in these imported fields

Compensation

Percentage of assets

Principal office

6 EAST 69TH STREET
NEW YORK, NY, 10021, United States

CRD 106253

Filing source

Form ADV 1756050 · Apr 28, 2023 · 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.