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-CONVERTIBLE ARBITRAGE 13 FUNDHedge Fund · Last reported Jul 11, 2014$35.8MGross asset value

Form D fundraising filings

dbX-Convertible Arbitrage 13 Fund

Feeder funds

DBX-CONVERTIBLE ARBITRAGE 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 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: 805-6842496044
Reported beneficial owners: 7
Minimum commitment: $250K
Form D file number: 021-172598

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-RISK ARBITRAGE 11 FUNDHedge Fund · Last reported Jul 11, 2014$34.6MGross asset value

Form D fundraising filings

dbX-Risk Arbitrage 11 Fund

Feeder funds

DBX-RISK ARBITRAGE 11 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: 805-8357111707
Reported beneficial owners: 15
Minimum commitment: $250K
Form D file number: 021-150878

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-RISK ARBITRAGE 9 FUNDHedge Fund · Last reported Mar 31, 2014$33.8MGross asset value

Form D fundraising filings

dbX-Risk Arbitrage 9 Fund

Feeder funds

DBX-RISK ARBITRAGE 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: 805-3888563123
Reported beneficial owners: 15
Minimum commitment: $250K
Form D file number: 021-152071

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-CONVERTIBLE ARBITRAGE 11 FUNDHedge Fund · Last reported Mar 31, 2014$29.4MGross asset value

Form D fundraising filings

dbX-Convertible Arbitrage 11 Fund

Feeder funds

DBX-CONVERTIBLE ARBITRAGE 11 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: 805-9252423807
Reported beneficial owners: 6
Minimum commitment: $250K
Form D file number: 021-149788

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 10 FUNDHedge Fund · Last reported Jul 11, 2014$28.5MGross asset value

Form D fundraising filings

dbX-Risk Arbitrage 10 Fund

Feeder funds

DBX-RISK ARBITRAGE 10 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: 805-9101216823
Reported beneficial owners: 5
Minimum commitment: $250K
Form D file number: 021-152072

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-HIGH YIELD 1 FUNDHedge Fund · Last reported Mar 31, 2014$28.4MGross asset value

Form D fundraising filings

dbX-High Yield 1 Fund

Feeder funds

DBX-HIGH YIELD 1 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: 805-1108521365
Reported beneficial owners: 11
Minimum commitment: $250K
Form D file number: 021-152051

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-JAPAN LONG/SHORT EQUITY 1 FUNDHedge Fund · Last reported Feb 26, 2013$27.6MGross asset value

Form D fundraising filings

dbX-Japan Long/Short Equity 1 Fund

Feeder funds

DBX-JAPAN LONG/SHORT EQUITY 1 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 LLC NEW YORK, New York, United States

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: 805-8855529370
Reported beneficial owners: 11
Minimum commitment: $250K
Form D file number: 021-154947

Form ADV 704117 · Feb 26, 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.

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.