FAIRPOINTE CAPITAL LLC – investment adviser, $53M 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	1	$20,482,423	38.7%
Other investment advisers	Fewer than 5	$13,456,917	25.4%
High-net-worth individuals	Fewer than 5	$11,209,660	21.2%
Charities	Fewer than 5	$7,534,010	14.2%
Individuals	Fewer than 5	$278,171	0.5%

Filing source

Form ADV 1510122 · Mar 30, 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

2 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.

1837 PARTNERS L.P.Hedge Fund · Last reported Mar 30, 2021$20.5MGross asset value

Form D fundraising filings

1837 Partners L.P.

Fund administrator NAV CONSULTING, INC. OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor RSM US LLP CHICAGO, Illinois, United States

Custodian BNP PARIBAS PRIME BROKERAGE, INC. CHICAGO, Illinois, United States Related to adviser: No

Prime broker BNP PARIBAS PRIME BROKERAGE, INC. CHICAGO, Illinois, United States

Provider details

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

RSM US LLP
PCAOB 49

BNP PARIBAS PRIME BROKERAGE, INC.
SEC 8-40490

BNP PARIBAS PRIME BROKERAGE, INC.
CRD 24962 · SEC 8-40490

Fund details & source

Fund ID: 805-4341718961
Reported beneficial owners: 17
Minimum commitment: $250K
Form D file number: 021-303650

Form ADV 1510122 · Mar 30, 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.

FAIRPOINTE FOCUSED EQUITY LLCPrivate Equity Fund · Last reported Mar 13, 2014$1.98MGross asset value

Form D fundraising filings

Fairpointe Focused Equity LLC

Auditor BAKER TILLY VIRCHOW KRAUSE LLP CHICAGO, Illinois, United States

Custodian PERSHING ADVISOR SOLUTIONS LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Provider details

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

PERSHING ADVISOR SOLUTIONS LLC
SEC 8-47425

Fund details & source

Fund ID: 805-9301672897
Reported beneficial owners: 7
Minimum commitment: $0
Form D file number: 021-166452

Form ADV 798330 · Mar 13, 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.

Services & filing details

Most recent filing: Mar 30, 2021. View historical filings

Reported services

Individual portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

ONE NORTH FRANKLIN STREET, SUITE 3300
CHICAGO, IL, 60606-2401, United States

CRD 156356

Filing source

Form ADV 1510122 · Mar 30, 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.