Investment adviser · CRD 132057

EACM ADVISORS LLC

Investment adviser filing (IA)

NORWALK, CT, United States · Form ADV filed Jun 3, 2019

Regulatory AUM: $617M
Client accounts: 10
Employees: 22
Advisory professionals: 6

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
Other investment advisers	Fewer than 5	$373,750,462	60.6%
Pooled investment vehicles	7	$231,897,891	37.6%
Banks & thrifts	Fewer than 5	$11,433,534	1.9%

Filing source

Form ADV 1327268 · Jun 3, 2019 · 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

7 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.

BARNEY FUND, L.P.Hedge Fund · Last reported Jun 3, 2019$97.6MGross asset value

Form D fundraising filings

Barney Fund, L.P.

Fund administrator MUFG FUND SERVICES (CAYMAN) LTD. GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian MUFG FUND SERVICES (CAYMAN) LTD GRAND CAYMAN, Cayman Islands Related to adviser: No

Provider details

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

KPMG
PCAOB 1323

Fund details & source

Fund ID: 805-7506249403
Reported beneficial owners: 2
Minimum commitment: $1M
Form D file number: 021-128159

Form ADV 1327268 · Jun 3, 2019 · 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.

FIRST PRINCIPLE FUND, LTD.Hedge Fund · Last reported Jun 3, 2019$60.8MGross asset value

Form D fundraising filings

First Principle Fund, Ltd.

Fund administrator MUFG FUND SERVICES (CAYMAN) LTD GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian MUFG FUND SERVICES (CAYMAN) LTD. GRAND CAYMAN, Cayman Islands Related to adviser: No

Marketer MBSC SECURITIES CORPORATION NEW YORK, New York, United States Related to adviser: Yes

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

KPMG
PCAOB 1323

MBSC SECURITIES CORPORATION
CRD 231 · SEC 801-54739

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

Fund details & source

Fund ID: 805-1420852189
Reported beneficial owners: 13
Minimum commitment: $1M
Form D file number: 021-107149

Form ADV 1327268 · Jun 3, 2019 · 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.

GARNET ABSOLUTE RETURN FUND, LTDHedge Fund · Last reported Jun 3, 2019$53.2MGross asset value

Form D fundraising filings

Garnet Absolute Return Fund, Ltd.

Fund administrator MUFG FUND SERVICES (CAYMAN) LTD GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian MUFG FUND SERVICES (CAYMAN) LTD GRAND CAYMAN, Cayman Islands Related to adviser: No

Marketer MBSC SECURITIES CORPORATION NEW YORK, New York, United States Related to adviser: Yes

Provider details

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

KPMG
PCAOB 1323

MBSC SECURITIES CORPORATION
CRD 231 · SEC 801-54739

Fund details & source

Fund ID: 805-1692874741
Reported beneficial owners: 16
Minimum commitment: $1M
Form D file number: 021-83750

Form ADV 1327268 · Jun 3, 2019 · 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.

CT LIQUIDATING SPV I, LTD.Other Private Fund · Last reported Jun 3, 2019$27KGross asset value

Fund administrator MUFG FUND SERVICES (CAYMAN) LTD GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian MUFG UNION BANK, N.A. SAN FRANCISCO, California, 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

KPMG
PCAOB 1323

Fund details & source

Fund ID: 805-2733404258
Reported beneficial owners: 11
Minimum commitment: $0

Form ADV 1327268 · Jun 3, 2019 · 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.

EACM SMALL MANAGERS EQUITY FUND TRUSTOther Private Fund · Last reported May 16, 2012$39.4MGross asset value

Fund administrator THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor GRANT THORNTON LLP NEW YORK, New York, United States

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: Yes

Provider details

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

Fund details & source

Fund ID: 805-7333649387
Reported beneficial owners: 1
Minimum commitment: $500K

Form ADV 647500 · May 16, 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.

EACM SMALL CAP VALUE EQUITY FUNDOther Private Fund · Last reported Oct 3, 2014$12.9MGross asset value

Form D fundraising filings

EACM Small Cap Value Equity Fund

Fund administrator THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor GRANT THORNTON LLP NEW YORK, New York, United States

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: Yes

Marketer MBSC SECURITIES CORPORATION NEW YORK, New York, United States Related to adviser: Yes

Provider details

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

MBSC SECURITIES CORPORATION
CRD 231 · SEC 801-54739

Fund details & source

Fund ID: 805-8516966638
Reported beneficial owners: 11
Minimum commitment: $500K
Form D file number: 021-128136

Form ADV 848046 · Oct 3, 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.

EACM EVENT-DRIVEN OFFSHORE FUND, LTDHedge Fund · Last reported Aug 9, 2017$0Gross asset value

Form D fundraising filings

EACM Event-Driven Offshore Fund, Ltd.

Fund administrator MUFG FUND SERVICES (CAYMAN) LTD. GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GRAND CAYMAN, Cayman Islands

Custodian MUFG FUND SERVICES (CAYMAN) LTD. GRAND CAYMAN, Cayman Islands Related to adviser: No

Marketer MBSC SECURITIES CORPORATION NEW YORK, New York, United States Related to adviser: Yes

Provider details

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

MBSC SECURITIES CORPORATION
CRD 231 · SEC 801-54739

Fund details & source

Fund ID: 805-9399891911
Reported beneficial owners: 1
Minimum commitment: $1M
Form D file number: 021-106603

Form ADV 1131152 · Aug 9, 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.

Services & filing details

Most recent filing: Jun 3, 2019. View historical filings

Reported services

Individual portfolio management · Pooled investment vehicle management · Business portfolio management · Selection of other advisers

Compensation

Percentage of assets · Performance-based

Principal office

200 CONNECTICUT AVENUE, 6TH FLOOR
NORWALK, CT, 06854, United States

CRD 132057

Filing source

Form ADV 1327268 · Jun 3, 2019 · 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.