Investment adviser · CRD 117590
DUKE FUNDING MANAGEMENT, L.L.C.
Investment adviser filing (IA)
OLD GREENWICH, CT, United States · Form ADV filed Mar 30, 2026
- Regulatory AUM
- $127M Form ADV · Item 5.F
- Client accounts
- 4 Accounts, not individual clients
- Employees
- 164 Reported in this filing
- Advisory professionals
- 68 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Pooled investment vehicles | 4 | $126,850,250 | 100.0% |
Filing source
Form ADV 2070620 · Mar 30, 2026 · 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
12 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
DUKE FUNDING IX, LTD.Securitized Asset Fund · Last reported Mar 30, 2026$66.7MGross asset value
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION
LEI HPFHU0OQ28E4N0NFVK49
Fund details & source
- Fund ID
- 805-7372692302
- Reported beneficial owners
- 9
- Minimum commitment
- $500K
Form ADV 2070620 · Mar 30, 2026 · 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.
DUKE FUNDING VII, LTD.Securitized Asset Fund · Last reported Mar 30, 2026$32.2MGross asset value
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION
LEI HPFHU0OQ28E4N0NFVK49
Fund details & source
- Fund ID
- 805-9689900732
- Reported beneficial owners
- 10
- Minimum commitment
- $500K
Form ADV 2070620 · Mar 30, 2026 · 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.
DUKE FUNDING VI, LTD.Securitized Asset Fund · Last reported Mar 30, 2026$16.2MGross asset value
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION
LEI HPFHU0OQ28E4N0NFVK49
Fund details & source
- Fund ID
- 805-4379848929
- Reported beneficial owners
- 9
- Minimum commitment
- $500K
Form ADV 2070620 · Mar 30, 2026 · 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.
DUKE FUNDING V, LTD.Securitized Asset Fund · Last reported Mar 30, 2026$11.7MGross asset value
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION
LEI HPFHU0OQ28E4N0NFVK49
Fund details & source
- Fund ID
- 805-5893484260
- Reported beneficial owners
- 7
- Minimum commitment
- $500K
Form ADV 2070620 · Mar 30, 2026 · 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.
DUKE FUNDING HIGH GRADE I, LTD.Securitized Asset Fund · Last reported May 20, 2022$419MGross asset value
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
Fund details & source
- Fund ID
- 805-3818584402
- Reported beneficial owners
- 6
- Minimum commitment
- $500K
Form ADV 1653238 · May 20, 2022 · 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.
ELLINGTON CLO I, LTD.Securitized Asset Fund · Last reported Aug 30, 2017$363MGross asset value
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
Fund details & source
- Fund ID
- 805-3564084217
- Reported beneficial owners
- 5
- Minimum commitment
- $250K
Form ADV 1137578 · Aug 30, 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.
DUKE FUNDING VIII, LTD.Securitized Asset Fund · Last reported Mar 30, 2016$76.5MGross asset value
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
Fund details & source
- Fund ID
- 805-5704418394
- Reported beneficial owners
- 5
- Minimum commitment
- $250K
Form ADV 1003565 · Mar 30, 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.
Services & filing details
Most recent filing: Mar 30, 2026. View historical filings
Reported services
Pooled investment vehicle management
Compensation
Percentage of assets · Performance-based
Principal office
53 FOREST AVENUE, 3RD FLOOROLD GREENWICH, CT, 06870, United States
CRD 117590
Filing source
Form ADV 2070620 · Mar 30, 2026 · 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.