Investment adviser · CRD 157273

ESL INVESTMENTS, INC.

Investment adviser filing (IA)

BAY HARBOR ISLANDS, FL, United States · Form ADV filed Nov 11, 2021

Regulatory AUM: $768M
Client accounts: 3
Employees: 7
Advisory professionals: 3

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	$767,800,377	100.0%

Filing source

Form ADV 1575980 · Nov 11, 2021 · 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.

ESL PARTNERS, LPHedge Fund · Last reported Nov 11, 2021$767MGross asset value

Form D fundraising filings

ESL PARTNERS, L.P.

Feeder funds

ESL LIMITED

Fund administrator APEX FUND SERVICES (CHICAGO) LLC CHICAGO, Illinois, United States Investor statements: Some (provided to some but not all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS TAMPA, Florida, United States

Custodian CITIBANK NA NEW YORK, New York, United States Related to adviser: No

Custodian CITIGROUP GLOBAL MARKETS, INC. NEW YORK, New York, United States Related to adviser: No

Custodian COMPUTERSHARE LIMITED NEW YORK, New York, United States Related to adviser: No

Prime broker CITIGROUP GLOBAL MARKETS 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: No

PRICEWATERHOUSECOOPERS
PCAOB 238

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

Fund details & source

Fund ID: 805-8212534462
Reported beneficial owners: 35
Minimum commitment: $25M
Form D file number: 021-109127

Form ADV 1575980 · Nov 11, 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.

SPE MASTER I, LPHedge Fund · Last reported Nov 11, 2021$583KGross asset value

Feeder funds

SPE I LIMITED

Fund administrator APEX FUND SERVICES (CHICAGO) LLC CHICAGO, Illinois, United States Investor statements: Some (provided to some but not all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS TAMPA, Florida, United States

Custodian CITIBANK N.A. NEW YORK, New York, United States Related to adviser: No

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Prime broker CITIGROUP GLOBAL MARKETS 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: No

PRICEWATERHOUSECOOPERS
PCAOB 238

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

Fund details & source

Fund ID: 805-3599774362
Reported beneficial owners: 6
Minimum commitment: $0

Form ADV 1575980 · Nov 11, 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.

SPE I PARTNERS, LPHedge Fund · Last reported Nov 11, 2021$550KGross asset value

Auditor PRICEWATERHOUSECOOPERS TAMPA, Florida, United States

Custodian CITIBANK N.A. NEW YORK, New York, United States Related to adviser: No

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States

Provider details

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

PRICEWATERHOUSECOOPERS
PCAOB 238

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

Fund details & source

Fund ID: 805-3861552566
Reported beneficial owners: 4
Minimum commitment: $0

Form ADV 1575980 · Nov 11, 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.

ESL INVESTORS, LLCHedge Fund · Last reported Apr 1, 2013$228MGross asset value

Fund administrator RAND GROUP LLC GREENWICH, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PWC NEW YORK, New York, United States

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Custodian DEUTSCHE BANK AG LONDON LONDON, United Kingdom Related to adviser: No

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

Custodian GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom Related to adviser: No

Custodian J.P. MORGAN 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

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States

Prime broker DEUTSCHE BANK AG LONDON LONDON, United Kingdom

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

Prime broker GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom

Prime broker J.P. MORGAN NEW YORK, New York, United States

Prime broker MORGAN STANLEY & CO. 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

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

Fund details & source

Fund ID: 805-3211212878
Reported beneficial owners: 1
Minimum commitment: $0

Form ADV 709479 · Apr 1, 2013 · 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.

SPE MASTER II, LPHedge Fund · Last reported Jan 8, 2015$104MGross asset value

Feeder funds

SPE II LIMITED

Fund administrator DUNDEE LEEDS CORPORATION HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS NEW YORK, New York, United States

Custodian CITIBANK N.A. NEW YORK, New York, United States Related to adviser: No

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Prime broker CITIGROUP GLOBAL MARKETS 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: No

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

Fund details & source

Fund ID: 805-5227496719
Reported beneficial owners: 25
Minimum commitment: $0

Form ADV 863426 · Jan 8, 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.

SPE II PARTNERS, LPHedge Fund · Last reported Jan 8, 2015$81.3MGross asset value

Auditor PRICEWATERHOUSECOOPERS NEW YORK, New York, United States

Custodian CITIBANK N.A. NEW YORK, New York, United States Related to adviser: No

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States

Provider details

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

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

Fund details & source

Fund ID: 805-1260252982
Reported beneficial owners: 18
Minimum commitment: $0

Form ADV 863426 · Jan 8, 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.

CBL PARTNERS, LPHedge Fund · Last reported Jan 8, 2015$5.79MGross asset value

Auditor PRICEWATERHOUSECOOPERS NEW YORK, New York, United States

Custodian CITIBANK N.A. NEW YORK, New York, United States Related to adviser: No

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Custodian MERRILL LYNCH PIERCE FENNER & SMITH NEW YORK, New York, United States Related to adviser: No

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States

Provider details

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

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

Fund details & source

Fund ID: 805-1802267959
Reported beneficial owners: 29
Minimum commitment: $0

Form ADV 863426 · Jan 8, 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.

Services & filing details

Most recent filing: Nov 11, 2021. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

1170 KANE CONCOURSE, SUITE 200
BAY HARBOR ISLANDS, FL, 33154, United States

CRD 157273

Filing source

Form ADV 1575980 · Nov 11, 2021 · 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.