ERGOTELES CAPITAL – investment adviser, $4.63B regulatory AUM (Form ADV)

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
Pooled investment vehicles	3	$4,633,860,302	100.0%

Filing source

Form ADV 1701103 · Mar 31, 2023 · 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

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

ERGOTELES MASTER FUND LTDHedge Fund · Last reported Mar 31, 2023$1.62BGross asset value

Feeder funds

Fund administrator SS&C TECHNOLOGIES, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian BOFA SECURITIES, INC. NEW YORK, New York, United States Related to adviser: No

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian NORTHERN TRUST SECURITIES, INC. NEW YORK, New York, United States Related to adviser: No

Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Prime broker BOFA SECURITIES, INC. NEW YORK, New York, United States

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

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Prime broker NORTHERN TRUST SECURITIES, INC. NEW YORK, New York, United States

Prime broker UBS SECURITIES LLC NEW YORK, New York, United States

Provider details

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

ERNST & YOUNG LLP
PCAOB 42

BOFA SECURITIES, INC.
SEC 8-69787

GOLDMAN SACHS & CO. LLC
SEC 8-129 · LEI FOR8UP27PHTHYVLBNG30

MORGAN STANLEY & CO. LLC
SEC 8-15869 · LEI 9R7GPTSO7KV3UQJZQ078

NORTHERN TRUST SECURITIES, INC.
SEC 8-23689

UBS SECURITIES LLC
SEC 8-22651 · LEI BFM8T61CT2L1QCEMIK50

BOFA SECURITIES, INC.
CRD 283942 · SEC 8-69787

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

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

NORTHERN TRUST SECURITIES, INC.
CRD 7927 · SEC 8-23689

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source

Fund ID: 805-4263201011
Reported beneficial owners: 4
Minimum commitment: $50M
Form D file number: 021-376431

Form ADV 1701103 · Mar 31, 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.

Services & filing details

Most recent filing: Mar 31, 2023. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets

Principal office

150 EAST 52ND ST, FL 23
NEW YORK, NY, 10022, United States

CRD 165309

Filing source

Form ADV 1701103 · Mar 31, 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.