Investment adviser · CRD 163972

DOLPHIN ASSOCIATES III, 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.

· Form ADV filed Jul 6, 2023

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.

DOLPHIN LIMITED PARTNERSHIP III, L.P.Other Private Fund · Last reported Jul 6, 2023$5.1MGross asset value
Fund administrator PKF O'CONNER DAVIES NEW YORK, New York, United States Investor statements: No (provided to no investors) Related to adviser: No
Auditor COHNREZNICK LLP MIAMI, Florida, United States
Auditor COHNREZNICK LLP MIAMI, Florida, United States
Auditor COHNREZNICK LLP MIAMI, Florida, United States
Custodian JEFFERIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC PALM BEACH, Florida, United States Related to adviser: No
Prime broker MORGAN STANLEY & CO. LLC PALM BEACH, Florida, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

COHNREZNICK LLP
PCAOB 596

COHNREZNICK LLP
PCAOB 596

COHNREZNICK LLP
PCAOB 596

JEFFERIES LLC
SEC 8-15074

MORGAN STANLEY & CO. LLC
SEC 8-15869

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

Fund details & source
Fund ID
805-7579024051
Reported beneficial owners
7
Minimum commitment
$5M
Form D file number
021-89921

Form ADV 1773149 · Jul 6, 2023 · 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.

SCANN2 PARTNERS, LPOther Private Fund · Last reported Jul 6, 2023$700KGross asset value
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States
Provider details
Annual audit
No
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

J.P. MORGAN SECURITIES LLC
SEC 8-35008

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

Fund details & source
Fund ID
805-8797489506
Reported beneficial owners
3
Minimum commitment
$1M

Form ADV 1773149 · Jul 6, 2023 · 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.

DOLPHIN LIMITED PARTNERSHIP I, L.P.Other Private Fund · Last reported Jul 6, 2023$300KGross asset value
Fund administrator PKF O'CONNOR DAVIES NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian JEFFERIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker JEFFERIES LLC NEW YORK, New York, United States
Provider details
Annual audit
No
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

JEFFERIES LLC
SEC 8-15074

JEFFERIES LLC
CRD 2347 · SEC 8-15074

Fund details & source
Fund ID
805-6441547036
Reported beneficial owners
15
Minimum commitment
$5M

Form ADV 1773149 · Jul 6, 2023 · 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.

MARINER LDCHedge Fund · Last reported Jun 28, 2012$1.8MGross asset value

Feeder funds

  • MARINER ATLANTIC TIPS, LTD.
  • MARINER ATLANTIC INTERMEDIATE, LTD.
  • MARINER ATLANTIC, LTD.
  • MARINER ATLANTIC TIPS INTERMEDIATE, LTD.
  • MARINER PARTNERS, L.P.
Fund administrator BUTTERFIELD FULCRUM GROUP (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor GRANT THORNTON LLP NEW YORK, New York, United States
Custodian BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States Related to adviser: No
Marketer MARINER EUROPE LTD. LONDON, United Kingdom Related to adviser: Yes
Marketer MARINER JAPAN INC. TOKYO, Japan Related to adviser: Yes
Prime broker BNP PARIBAS PRIME BROKERAGE, 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

BNP PARIBAS PRIME BROKERAGE, INC.
SEC 8-40490

BNP PARIBAS PRIME BROKERAGE, INC.
CRD 24962 · SEC 8-40490

Fund details & source
Fund ID
805-4991304990
Reported beneficial owners
756
Minimum commitment
$5M
Form D file number
021-121432
Form D file number
021-126777
Form D file number
021-127002

Form ADV 638577 · Jun 28, 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.

DOLPHIN LIMITED PARTNERSHIP IV, L.P. (DECISIONAL)Other Private Fund · Last reported Mar 31, 2021$0Gross asset value

No provider names available in this fund's imported disclosure.

Provider details
Annual audit
No
Prime brokers
No
Custodians
No
Administrator other than the adviser
No
External marketing
No
Fund details & source
Fund ID
805-7017729496
Reported beneficial owners
0
Minimum commitment
$1M

Form ADV 1526144 · Mar 31, 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.

Services & filing details

Most recent filing: Jul 6, 2023. View historical filings

Reported services

Not reported in these imported fields

Compensation

Not reported in these imported fields

Principal office

CRD 163972

Filing source

Form ADV 1773149 · Jul 6, 2023 · 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.