Investment adviser · CRD 108204

DB INVESTMENT MANAGERS, INC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Nov 15, 2018

Regulatory AUM: $5.2M
Client accounts: 4
Employees: 3
Advisory professionals: 1

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	4	$5,196,420	100.0%

Filing source

Form ADV 1251792 · Nov 15, 2018 · 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

50+ 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.

Browse the first 49 funds across 7 pages.

DBX-RISK ARBITRAGE 13 FUNDHedge Fund · Last reported Mar 31, 2014$111MGross asset value

Form D fundraising filings

dbX-Risk Arbitrage 13 Fund

Feeder funds

DBX-RISK ARBITRAGE 13 FEEER FUND

Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

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

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker GOLDMAN, SACHS & 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: Yes

GOLDMAN, SACHS & CO.
SEC 8-129

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

Fund details & source

Fund ID: 805-3559587127
Reported beneficial owners: 13
Minimum commitment: $250K
Form D file number: 021-185231

Form ADV 813520 · Mar 31, 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.

DBX-US LONG/SHORT EQUITY 15 FUNDHedge Fund · Last reported Mar 31, 2014$102MGross asset value

Form D fundraising filings

dbX-US Long/Short Equity 15 Fund

Feeder funds

DBX-US LONG/SHORT EQUITY 15 FEEDER FUND
DBX-US LONG/SHORT EQUITY 15 FEEDER FUND

Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker UBS 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

UBS SECURITIES LLC
SEC 8-22651

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source

Fund ID: 805-7177134212
Reported beneficial owners: 16
Minimum commitment: $250K
Form D file number: 021-178979

Form ADV 813520 · Mar 31, 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.

DBX-RISK ARBITRAGE 5 FUNDHedge Fund · Last reported Mar 31, 2014$92.7MGross asset value

Form D fundraising filings

dbX-Risk Arbitrage 5 Fund

Feeder funds

DBX-RISK ARBITRAGE 5 FEEDER FUND

Fund administrator DB FUND SERVICES LLC SANTA ANA, California, United States Investor statements: No (provided to no investors) Related to adviser: Yes

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom

Provider details

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

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

Fund details & source

Fund ID: 805-1947112802
Reported beneficial owners: 19
Minimum commitment: $250K
Form D file number: 021-150856

Form ADV 813520 · Mar 31, 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.

DBX-RISK ARBITRAGE 7 FUNDHedge Fund · Last reported Mar 31, 2014$76.8MGross asset value

Form D fundraising filings

dbX-Risk Arbitrage 7 Fund

Feeder funds

DBX-RISK ARBITRAGE 7 FEEDER FUND

Fund administrator DB FUND SERVICES LLC SANTA ANA, California, United States Investor statements: No (provided to no investors) Related to adviser: Yes

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker DEUTSCHE BANK SECURITIES INC. 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

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

Fund details & source

Fund ID: 805-3354327688
Reported beneficial owners: 15
Minimum commitment: $250K
Form D file number: 021-154924

Form ADV 813520 · Mar 31, 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.

DBX-GLOBAL LONG SHORT EQUITY 2 FUNDHedge Fund · Last reported Nov 19, 2012$63.3MGross asset value

Form D fundraising filings

dbX-Global Long Short Equity 2 Fund

Feeder funds

DBX-GLOBAL LONG SHORT EQUITY 2 FEEDER FUND

Fund administrator DB HEDGEWORKS, LLC SANTA ANA, California, United States Investor statements: No (provided to no investors) Related to adviser: Yes

Auditor KPMG LLP NEW YORK, New York, United States

Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker DEUTSCHE BANK SECURITIES INC. 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

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

Fund details & source

Fund ID: 805-2320446550
Reported beneficial owners: 9
Minimum commitment: $250K
Form D file number: 021-159620

Form ADV 681015 · Nov 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.

DBX-US LONG/SHORT EQUITY 16 FUNDHedge Fund · Last reported Mar 31, 2014$58.5MGross asset value

Form D fundraising filings

dbX-US Long/Short Equity 16 Fund

Feeder funds

DBX-US LONG/SHORT EQUITY 16 FEEDERFUND

Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

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

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States

Prime broker MORGAN STANLEY & CO. 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

GOLDMAN, SACHS & CO.
SEC 8-129

MORGAN STANLEY & CO. LLC
SEC 8-15869

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

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

Fund details & source

Fund ID: 805-9545473262
Reported beneficial owners: 8
Minimum commitment: $250K
Form D file number: 021-195136

Form ADV 813520 · Mar 31, 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.

DBX-EVENT DRIVEN 2 FUNDHedge Fund · Last reported Jul 11, 2014$55.1MGross asset value

Form D fundraising filings

dbX-Event Driven 2 Fund

Feeder funds

DBX-EVENT DRIVEN 2 FEEDER FUND

Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN 1, Ireland Investor statements: No (provided to no investors) Related to adviser: No

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker DEUTSCHE BANK SECURITIES INC. 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

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

Fund details & source

Fund ID: 805-7799370659
Reported beneficial owners: 7
Minimum commitment: $250K
Form D file number: 021-163476

Form ADV 834050 · Jul 11, 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.

Services & filing details

Most recent filing: Nov 15, 2018. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Fixed

Principal office

345 PARK AVENUE, 25TH FL.
NEW YORK, NY, 10154, United States

CRD 108204

Filing source

Form ADV 1251792 · Nov 15, 2018 · 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.