DEERFIELD MANAGEMENT COMPANY: Investment Adviser Form ADV Filing

How this adviser has changed

Annual filings

Regulatory assets under management

Up to five fiscal years, using the latest annual update available at the selected filing date. Asset changes can reflect acquisitions, client flows, and valuations; they are not investment returns.

Annual adviser history and sources
Fiscal year	Regulatory AUM	Employees	Filed
2021	$16,229,982,187	148	Mar 30, 2022
2022	$15,060,203,700	175	Mar 31, 2023

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	10	$15,060,203,700	100.0%

Filing source

Form ADV 1706847 · Mar 31, 2023 · Item 5.D

Reported by DEERFIELD MANAGEMENT COMPANY, L.P. SERIES C (CRD 157876).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Private funds & service providers

9 detailed fund records

Largest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.

DEERFIELD PRIVATE DESIGN INTERNATIONAL II, L.P.Hedge Fund · Master$105MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Deerfield Private Design International II, Ltd.

Fund administrator CITCO FUND ADMINISTRATION (CAYMAN ISLANDS) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Auditor ERNST & YOUNG LTD HAMILTON, Bermuda Other funds reporting this name →

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian MORGAN STANLEY CAPITAL SERVICES LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No Other funds reporting this name →

See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ERNST & YOUNG LTD
PCAOB 1277

GOLDMAN SACHS & CO. LLC
SEC 8-129

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY CAPITAL SERVICES LLC
LEI I7331LVCZKQKX5T7XV54

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

Fund details & source

Fund ID: 805-4528215818
Reported beneficial owners: 43
Minimum commitment: $1M
Form D file number: 021-152138

Form ADV 1706847 · Mar 31, 2023 · Schedule D 7.B.(1)

Reported by DEERFIELD MANAGEMENT COMPANY, L.P. SERIES C (CRD 157876).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

DEERFIELD PDI FINANCING II, L.P.Private Equity Fund$24.8MGross asset value

Search Form D filings →

Fund administrator CITCO FUND ADMINISTRATION (CAYMAN ISLANDS) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Auditor ERNST & YOUNG LTD HAMILTON, Bermuda Other funds reporting this name →

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Other funds reporting this name →

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ERNST & YOUNG LTD
PCAOB 1277

MORGAN STANLEY & CO. LLC
SEC 8-15869

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

Fund details & source

Fund ID: 805-2416843259
Reported beneficial owners: 43
Minimum commitment: $1M

Form ADV 1706847 · Mar 31, 2023 · Schedule D 7.B.(1)

Reported by DEERFIELD MANAGEMENT COMPANY, L.P. SERIES C (CRD 157876).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Services & filing details

Showing values from the selected filing. Latest observed filing does not establish current registration status.

What changed?

Since Mar 30, 2022 · previous imported filing

Regulatory AUM$16,229,982,187 → $15,060,203,700
Employees148 → 175

Filing source

Form ADV 1706847 · Mar 31, 2023 · Items 1 & 5

Reported by DEERFIELD MANAGEMENT COMPANY, L.P. SERIES C (CRD 157876).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Management of assets

Discretionary: $15.1B
Non-discretionary: $0

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

345 PARK AVENUE SOUTH, 12TH FLOOR
NEW YORK, NY, 10010, United States

CRD 157876

Filing source

Form ADV 1706847 · Mar 31, 2023 · Items 1 & 5

Reported by DEERFIELD MANAGEMENT COMPANY, L.P. SERIES C (CRD 157876).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.