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-US LONG/SHORT EQUITY 12 FUNDHedge Fund · Last reported Jul 11, 2014$44.6MGross asset value

Form D fundraising filings

dbX-US Long/Short Equity 12 Fund

Feeder funds

DBX-US LONG/SHORT EQUITY 12 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 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: 805-3801725619
Reported beneficial owners: 21
Minimum commitment: $250K
Form D file number: 021-163481

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.

DBX-GLOBAL LONG/SHORT EQUITY 7 FUNDHedge Fund · Last reported Mar 31, 2014$43.4MGross asset value

Form D fundraising filings

dbX-Global Long/Short Equity 7 Fund

Feeder funds

DBX-GLOBAL/LONG SHORT EQUITY 7 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 CREDIT SUISSE SECURITIES (USA) LLC 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 CREDIT SUISSE SECURITIES (USA) 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

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

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

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

Fund details & source

Fund ID: 805-6150612994
Reported beneficial owners: 13
Minimum commitment: $250K
Form D file number: 021-159650

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-EMERGING MARKETS MACRO 3 FUNDHedge Fund · Last reported Jul 11, 2014$42MGross asset value

Form D fundraising filings

dbX-Emerging Markets Macro 3 Fund

Feeder funds

DBX-EMERGING MARKETS MACRO 3 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 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: 805-4636610469
Reported beneficial owners: 13
Minimum commitment: $250K
Form D file number: 021-170444

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.

DBX-US LONG/SHORT EQUITY 9 FUNDHedge Fund · Last reported Mar 31, 2014$39.2MGross asset value

Form D fundraising filings

dbX-US Long/Short Equity 9 Fund

Feeder funds

DBX-US LONG/SHORT EQUITY 9 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: 805-1156048210
Reported beneficial owners: 8
Minimum commitment: $250K
Form D file number: 021-150901

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 MACRO 4 FUNDHedge Fund · Last reported Mar 31, 2014$37MGross asset value

Form D fundraising filings

dbX-Global Macro 4 Fund

Feeder funds

DBX-GLOBAL MACRO 4 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: 805-1557621363
Reported beneficial owners: 9
Minimum commitment: $250K
Form D file number: 021-152058

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-CTA 13 FUNDHedge Fund · Last reported Nov 19, 2012$36.7MGross asset value

Form D fundraising filings

dbX-CTA 13 Fund

Feeder funds

DBX-CTA 13 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 TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

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 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

MORGAN STANLEY & CO. LLC
SEC 8-15869

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

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

Fund details & source

Fund ID: 805-2581674370
Reported beneficial owners: 14
Minimum commitment: $250K
Form D file number: 021-149694

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-GLOBAL LONG/SHORT EQUITY 8 FUNDHedge Fund · Last reported Jul 11, 2014$36MGross asset value

Form D fundraising filings

dbX-Global Long/Short Equity 8 Fund

Feeder funds

DBX-GLOBAL LONG/SHORT EQUITY 8 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 CREDIT SUISSE SECURITIES (USA) LLC 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 CREDIT SUISSE SECURITIES (USA) 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

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

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

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

Fund details & source

Fund ID: 805-3107609942
Reported beneficial owners: 6
Minimum commitment: $250K
Form D file number: 021-169775

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.