Investment adviser · CRD 160781

EMPIRIC ASSET MANAGEMENT, 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.

NEW YORK, NY, United States · Form ADV filed Mar 3, 2015

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

Private funds & service providers

4 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.

EMPIRIC STRATEGIC INCOME OFFSHORE FUND, LTD.Hedge Fund · Last reported Mar 3, 2015$15.3MGross asset value

Form D fundraising filings

Empiric Strategic Income Offshore Fund, Ltd.

Fund administrator SWISS FINANCIAL SERVICES (CAYMAN) LTD GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor WEISERMAZARS LLP NEW YORK, New York, United States
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Marketer ATVANTIS FINANCIAL DISTRIBUTION GMBH GERA, Germany Related to adviser: No
Prime broker WELLS FARGO PRIME SERVICES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

J.P. MORGAN CLEARING CORP.
SEC 8-43724

WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677

Fund details & source
Fund ID
805-5707191168
Reported beneficial owners
17
Minimum commitment
$250K
Form D file number
021-213637

Form ADV 884736 · Mar 3, 2015 · 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.

EMPIRIC STRATEGIC INCOME FUND, LPHedge Fund · Last reported Mar 3, 2015$8.76MGross asset value

Form D fundraising filings

EMPIRIC STRATEGIC INCOME FUND, L.P.

Fund administrator SWISS FINANCIAL SERVICES, INC NAPERVILLE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor WEISERMAZARS LLP NEW YORK, New York, United States
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Prime broker WELLS FARGO PRIME SERVICES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

J.P. MORGAN CLEARING CORP.
SEC 8-43724

WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677

Fund details & source
Fund ID
805-9329299710
Reported beneficial owners
15
Minimum commitment
$1M
Form D file number
021-178460

Form ADV 884736 · Mar 3, 2015 · 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.

EMPIRIC MARKET NEUTRAL FUND OFFSHORE, LTD.Hedge Fund · Last reported May 4, 2012$36.1MGross asset value
Fund administrator SWISS FINANCIAL SERVICES (BAHAMAS), INC. NASSAU, Bahamas, The Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor WEISERMAZARS LLP NEW YORK, New York, United States
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Marketer ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC NEW YORK, New York, United States Related to adviser: No
Marketer PALLADIUM CAPITAL ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No
Prime broker MERLIN SECURITIES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

J.P. MORGAN CLEARING CORP.
SEC 8-43724

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD 135131 · SEC 8-66889

PALLADIUM CAPITAL ADVISORS, LLC
CRD 129400 · SEC 8-66223

MERLIN SECURITIES, LLC
CRD 133068 · SEC 8-66677

Fund details & source
Fund ID
805-7709238094
Reported beneficial owners
12
Minimum commitment
$1M

Form ADV 645325 · May 4, 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.

EMPIRIC MARKET NEUTRAL FUND, L.P.Hedge Fund · Last reported May 4, 2012$10.7MGross asset value

Form D fundraising filings

Empiric Market Neutral Fund, L.P.

Fund administrator SWISS FINANCIAL SERVICES, INC NAPERVILLE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor WEISERMAZARS LLP NEW YORK, New York, United States
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Marketer ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC NEW YORK, New York, United States Related to adviser: No
Marketer BLUE SAND SECURITIES LLC GEORGETOWN, Texas, United States Related to adviser: No
Marketer PALLADIUM CAPITAL ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No
Prime broker MERLIN SECURITIES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

J.P. MORGAN CLEARING CORP.
SEC 8-43724

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD 135131 · SEC 8-66889

BLUE SAND SECURITIES LLC
CRD 142976 · SEC 8-67514

PALLADIUM CAPITAL ADVISORS, LLC
CRD 129400 · SEC 8-66223

MERLIN SECURITIES, LLC
CRD 133068 · SEC 8-66677

Fund details & source
Fund ID
805-7500765704
Reported beneficial owners
12
Minimum commitment
$1M
Form D file number
021-139731

Form ADV 645325 · May 4, 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.

Services & filing details

Most recent filing: Mar 3, 2015. View historical filings

Reported services

Not reported in these imported fields

Compensation

Not reported in these imported fields

Principal office

11 EAST 44TH STREET, SUITE 1600
NEW YORK, NY, 10017, United States

CRD 160781

Filing source

Form ADV 884736 · Mar 3, 2015 · 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.