Investment adviser · CRD 285829

DELTA BETA ADVISORS, LLC

Exempt reporting adviser (ERA)

Exempt reporting advisers use a shorter Form ADV report. Some adviser-level figures are not reported; fund disclosures appear below when available.

MOUNTAINSIDE, NJ, United States · Form ADV filed Mar 26, 2021

Adviser-level assets, account counts and staffing figures are unavailable in this filing. View the reported fund disclosures below →

Private funds & service providers

5 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.

D-BETA ONE GROWTH AND OPPORTUNITY FUND OFFSHORE, LPHedge Fund · Last reported Nov 10, 2016$27.8MGross asset value

Fund administrator FUNDADMINISTRATION, INC. RONKONKOMA, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor BAKER TILLY VIRCHOW KRAUSE, LLP NEW YORK, New York, United States

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

Custodian FUNDADMINISTRATION, INC. RONKONKOMA, New York, 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

Fund details & source

Fund ID: 805-1829764117
Reported beneficial owners: 1
Minimum commitment: $1M

Form ADV 1047424 · Nov 10, 2016 · 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.

D-BETA ONE EQ, LTDHedge Fund · Last reported Mar 26, 2021$25.8MGross asset value

Feeder funds

D-BETA ONE GROWTH AND OPPORTUNITY FUND OFFSHORE, LP

Fund administrator MAINSTREAM GROUP HOLDINGS LIMITED NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor BAKER TILLY VIRCHOW KRAUSE, LLP NEW YORK, New York, United States

Custodian AXOS CLEARING LLC OMAHA, Nebraska, United States Related to adviser: No

Custodian DMS BANK & TRUST LTD GRAND CAYMAN, Cayman Islands Related to adviser: No

Custodian JARVIS INVESTMENT MANAGEMENT LTD LONDON, United Kingdom Related to adviser: No

Custodian J.H. DARBIE & CO., INC. NEW YORK, New York, United States Related to adviser: No

Custodian OPTIVA SECURITIES LONDON, United Kingdom Related to adviser: No

Custodian RAYMOND JAMES & ASSOCIATES, INC. ST. PETERSBURG, Florida, United States Related to adviser: No

Custodian SCOTTSDALE CAPITAL ADVISORS CORP SCOTTSDALE, Arizona, United States Related to adviser: No

Custodian SHARD CAPITAL PARTNERS, LP LONDON, United Kingdom Related to adviser: No

Custodian SIGNATURE BANK MELVILLE, New York, United States Related to adviser: No

Custodian THREE BROTHERS TRADING, LLC RYE, New York, United States Related to adviser: No

Custodian US BANK NATIONAL ASSOCIATION CINCINNATI, Ohio, 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

BAKER TILLY VIRCHOW KRAUSE, LLP
PCAOB 23

AXOS CLEARING LLC
SEC 8-53595

J.H. DARBIE & CO., INC.
SEC 8-50335

RAYMOND JAMES & ASSOCIATES, INC.
SEC 8-10999

SCOTTSDALE CAPITAL ADVISORS CORP
SEC 8-53685

THREE BROTHERS TRADING, LLC
SEC 8-69279

Fund details & source

Fund ID: 805-3031132817
Reported beneficial owners: 7
Minimum commitment: $1M
Form D file number: 021-275957

Form ADV 1519817 · Mar 26, 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.

D-BETA ONE CD, LTD.Hedge Fund · Last reported Mar 21, 2017$4.77MGross asset value

Feeder funds

D-BETA ONE GROWTH AND OPPORTUNITY FUND OFFSHORE, LP

Fund administrator FUNDADMINISTRATION, INC. RONKONKOMA, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor BAKER TILLY VIRCHOW KRAUSE, LLP NEW YORK, New York, United States

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

Custodian DMS BANK & TRUST LTD. GRAND CAYMAN, Cayman Islands Related to adviser: No

Custodian JARVIS INVESTMENT MANAGEMENT LTD LONDON, United Kingdom Related to adviser: No

Custodian LEK SECURITIES CORPORATION NEW YORK, New York, United States Related to adviser: No

Custodian SHARD CAPITAL PARTNERS, LP LONDON, United Kingdom Related to adviser: No

Custodian WUNDERLICH SECURITIES, INC. MEMPHIS, Tennessee, United States Related to adviser: No

Prime broker LEK SECURITIES CORPORATION NEW YORK, New York, United States

Prime broker SHARD CAPITAL PARTNERS, LP LONDON, United Kingdom

Provider details

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

LEK SECURITIES CORPORATION
SEC 8-42152

WUNDERLICH SECURITIES, INC.
SEC 8-31206

LEK SECURITIES CORPORATION
CRD 33135 · SEC 8-42152

Fund details & source

Fund ID: 805-9101770944
Reported beneficial owners: 1
Minimum commitment: $1M
Form D file number: 021-275957

Form ADV 1084343 · Mar 21, 2017 · 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.

D-BETA ONE PN, LTD.Hedge Fund · Last reported Mar 21, 2017$522KGross asset value

Feeder funds

D-BETA ONE GROWTH AND OPPORTUNITY FUND OFFSHORE, LP