Investment adviser · CRD 304684

CHI ADVISORS LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Jun 5, 2023

Regulatory AUM: $1.16B
Client accounts: 6
Employees: 34
Advisory professionals: 8

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	$1,156,715,814	100.0%

Filing source

Form ADV 1767366 · Jun 5, 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

7 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.

COWEN HEALTHCARE INVESTMENTS IV LPPrivate Equity Fund · Last reported Jun 5, 2023$540MGross asset value

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 ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian BANK OF AMERICA, N.A. NEW YORK, New York, United States Related to adviser: No

Custodian BNP PARIBAS SECURITIES CORP. NEW YORK, New York, United States Related to adviser: No

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

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

Marketer PNC BANK, NA PITTSBURGH, Pennsylvania, United States Related to adviser: No

Prime broker BNP PARIBAS SECURITIES CORP. NEW YORK, New York, United States

Prime broker COWEN AND COMPANY 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

ERNST & YOUNG LLP
PCAOB 41

BANK OF AMERICA, N.A.
LEI B4TYDEB6GKMZO031MB27

BNP PARIBAS SECURITIES CORP.
SEC 8-32682

PERSHING LLC
SEC 8-17574

MORGAN STANLEY
CRD 149777 · SEC 801-70103

BNP PARIBAS SECURITIES CORP.
CRD 15794 · SEC 8-32682

COWEN AND COMPANY
CRD 7616 · SEC 8-22522

Fund details & source

Fund ID: 805-1747211450
Reported beneficial owners: 798
Minimum commitment: $5M
Form D file number: 021-414835

Form ADV 1767366 · Jun 5, 2023 · 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.

COWEN HEALTHCARE INVESTMENTS III LPPrivate Equity Fund · Last reported Jun 5, 2023$429MGross asset value

Form D fundraising filings

Cowen Healthcare Investments III LP

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 ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian BANK OF AMERICA N.A. NEW YORK, New York, United States Related to adviser: No

Custodian BNP PARIBAS SECURITIES CORP. NEW YORK, New York, United States Related to adviser: No

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

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

Prime broker BNP PARIBAS SECURITIES CORP. NEW YORK, New York, United States

Prime broker COWEN AND COMPANY 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

ERNST & YOUNG LLP
PCAOB 41

BANK OF AMERICA N.A.
LEI B4TYDEB6GKMZO031MB27

BNP PARIBAS SECURITIES CORP.
SEC 8-32682

PERSHING LLC
SEC 8-17574

MORGAN STANLEY
CRD 149777 · SEC 801-70103

BNP PARIBAS SECURITIES CORP.
CRD 15794 · SEC 8-32682

COWEN AND COMPANY
CRD 7616 · SEC 8-22522

Fund details & source

Fund ID: 805-6541020392
Reported beneficial owners: 810
Minimum commitment: $5M
Form D file number: 021-349587

Form ADV 1767366 · Jun 5, 2023 · 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.

COWEN HEALTHCARE INVESTMENTS II LPPrivate Equity Fund · Last reported Jun 5, 2023$144MGross asset value

Form D fundraising filings

Cowen Healthcare Investments II LP

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 ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian BANK OF AMERICA, N.A. NEW YORK, New York, United States Related to adviser: No

Custodian BNP PARIBAS SECURITIES CORP. NEW YORK, New York, United States Related to adviser: No

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

Prime broker BNP PARIBAS SECURITIES 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

ERNST & YOUNG LLP
PCAOB 41

BANK OF AMERICA, N.A.
LEI B4TYDEB6GKMZO031MB27

BNP PARIBAS SECURITIES CORP.
SEC 8-32682

MORGAN STANLEY
CRD 149777 · SEC 801-70103

BNP PARIBAS SECURITIES CORP.
CRD 15794 · SEC 8-32682

Fund details & source

Fund ID: 805-2513597912
Reported beneficial owners: 279
Minimum commitment: $5M
Form D file number: 021-298510

Form ADV 1767366 · Jun 5, 2023 · 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.

CHI EF IV LPPrivate Equity Fund · Last reported Jun 5, 2023$20MGross asset value

Form D fundraising filings

CHI EF IV LP

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 ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian BANK OF AMERICA, N.A. NEW YORK, New York, United States Related to adviser: No

Custodian BNP PARIBAS SECURITIES CORP. NEW YORK, New York, United States Related to adviser: No

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker BNP PARIBAS SECURITIES CORP. NEW YORK, New York, United States

Prime broker COWEN AND COMPANY 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

ERNST & YOUNG LLP
PCAOB 41

BANK OF AMERICA, N.A.
LEI B4TYDEB6GKMZO031MB27

BNP PARIBAS SECURITIES CORP.
SEC 8-32682

PERSHING LLC
SEC 8-17574

BNP PARIBAS SECURITIES CORP.
CRD 15794 · SEC 8-32682

COWEN AND COMPANY
CRD 7616 · SEC 8-22522

Fund details & source

Fund ID: 805-4833509129
Reported beneficial owners: 126
Minimum commitment: $50K
Form D file number: 021-414830

Form ADV 1767366 · Jun 5, 2023 · 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.

CHI EF III LPPrivate Equity Fund · Last reported Jun 5, 2023$12.7MGross asset value

Form D fundraising filings

CHI EF III LP

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 ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian BANK OF AMERICA N.A. NEW YORK, New York, United States Related to adviser: No

Custodian BNP PARIBAS SECURITIES CORP. NEW YORK, New York, United States Related to adviser: No

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker BNP PARIBAS SECURITIES CORP. NEW YORK, New York, United States

Prime broker COWEN AND COMPANY 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

ERNST & YOUNG LLP
PCAOB 41

BANK OF AMERICA N.A.
LEI B4TYDEB6GKMZO031MB27

BNP PARIBAS SECURITIES CORP.
SEC 8-32682

PERSHING LLC
SEC 8-17574

BNP PARIBAS SECURITIES CORP.
CRD 15794 · SEC 8-32682

COWEN AND COMPANY
CRD 7616 · SEC 8-22522

Fund details & source

Fund ID: 805-8156075788
Reported beneficial owners: 99
Minimum commitment: $50K
Form D file number: 021-349488

Form ADV 1767366 · Jun 5, 2023 · 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.

CHI EF II LPPrivate Equity Fund · Last reported Jun 5, 2023$10.8MGross asset value

Form D fundraising filings

CHI Employee Fund II LP

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 ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian BANK OF AMERICA, N.A. NEW YORK, New York, United States Related to adviser: No

Custodian BNP PARIBAS SECURITIES CORP. NEW YORK, New York, United States Related to adviser: No

Prime broker BNP PARIBAS SECURITIES 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

ERNST & YOUNG LLP
PCAOB 42

BANK OF AMERICA, N.A.
LEI B4TYDEB6GKMZO031MB27

BNP PARIBAS SECURITIES CORP.
SEC 8-32682

BNP PARIBAS SECURITIES CORP.
CRD 15794 · SEC 8-32682

Fund details & source

Fund ID: 805-4539093001
Reported beneficial owners: 106
Minimum commitment: $50K
Form D file number: 021-298511

Form ADV 1767366 · Jun 5, 2023 · 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.

COWEN PRIVATE INVESTMENTS LPPrivate Equity Fund · Last reported Mar 29, 2021$11.3MGross asset value

Form D fundraising filings

Cowen Private Investments LP

Feeder funds

COWEN PRIVATE INVESTMENTS EMPLOYEE FEEDER LP

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

Auditor KPMG NEW YORK, New York, United States

Custodian BANK OF AMERICA N.A. NEW YORK, New York, United States Related to adviser: No

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, 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
PCAOB 185

BANK OF AMERICA N.A.
LEI B4TYDEB6GKMZO031MB27

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

Fund details & source

Fund ID: 805-2961408544
Reported beneficial owners: 90
Minimum commitment: $25M
Form D file number: 021-247084

Form ADV 1521581 · Mar 29, 2021 · 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: Jun 5, 2023. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

599 LEXINGTON AVE., 20TH FLOOR
NEW YORK, NY, 10022, United States

CRD 304684

Filing source

Form ADV 1767366 · Jun 5, 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.