Investment adviser · CRD 106698

FIRST QUADRANT, LLC

Investment adviser filing (IA)

GLENDALE, CA, United States · Form ADV filed Aug 12, 2022

Regulatory AUM: $10.5B
Client accounts: 31
Employees: 53
Advisory professionals: 14

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
Retirement plans	14	$4,311,401,000	41.0%
Government entities	Fewer than 5	$3,055,028,000	29.1%
Investment companies	5	$1,917,795,000	18.2%
Insurance companies	Fewer than 5	$447,239,000	4.3%
Pooled investment vehicles	5	$355,342,000	3.4%
Other investment advisers	Fewer than 5	$352,501,000	3.4%
Corporations & businesses	Fewer than 5	$69,875,000	0.7%

Filing source

Form ADV 1667738 · Aug 12, 2022 · 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

12 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.

FQ GLOBAL DIVERSIFIED MACRO MASTER FUND, L.P.Hedge Fund · Last reported Aug 12, 2022$174MGross asset value

Feeder funds

FQ GLOBAL DIVERSIFIED MACRO FUND LTD.

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

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No

Custodian J.P. MORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No

Marketer JUNIPER PLACE LONDON, United Kingdom Related to adviser: No

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: Yes

KPMG
PCAOB 1323

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

Fund details & source

Fund ID: 805-2373058974
Reported beneficial owners: 9
Minimum commitment: $5M
Form D file number: 021-376956

Form ADV 1667738 · Aug 12, 2022 · 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.

EP FQ LTD.Hedge Fund · Last reported Aug 12, 2022$75.2MGross asset value

Fund administrator CITCO FUND SERVICES (CURACAO) B.V. WILLEMSTAD, Curacao Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP TORONTO, Canada

Custodian CITIBANK N.A. (LONDON BRANCH) LONDON, United Kingdom Related to adviser: No

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

Prime broker CITIBANK N.A. (LONDON BRANCH) LONDON, United Kingdom

Prime broker DEUTSCHE BANK AG LONDON, United Kingdom

Provider details

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

PRICEWATERHOUSECOOPERS LLP
PCAOB 271

Fund details & source

Fund ID: 805-1812989931
Reported beneficial owners: 5
Minimum commitment: $100K

Form ADV 1667738 · Aug 12, 2022 · 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 QUADRANT SB I, L.P.Hedge Fund · Last reported Aug 12, 2022$1.74MGross asset value

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

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian CITIZENS BUSINESS BANK ONTARIO, California, United States Related to adviser: No

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

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

KPMG
PCAOB 1323

MORGAN STANLEY & CO. LLC
SEC 8-15869

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

Fund details & source

Fund ID: 805-8520461285
Reported beneficial owners: 5
Minimum commitment: $10K

Form ADV 1667738 · Aug 12, 2022 · 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.

FQ ESSENTIAL BETA FUND LTD.Hedge Fund · Last reported Aug 12, 2022$0Gross asset value

Form D fundraising filings

First Quadrant Essential Beta Fund Ltd.

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

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian CITIZENS BUSINESS BANK ONTARIO, California, United States Related to adviser: No

Custodian J.P. MORGAN CHASE BANK, N.A. NEW YORK, New York, 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: 805-5360788194
Reported beneficial owners: 0
Minimum commitment: $1M
Form D file number: 021-137795

Form ADV 1667738 · Aug 12, 2022 · 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.

FQ GLOBAL OPPORTUNITIES FUND LTD.Hedge Fund · Last reported Jan 17, 2013$254MGross asset value

Form D fundraising filings

FQ GLOBAL OPPORTUNITIES FUND LTD

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

Auditor KPMG GRAND CAYMAN, Cayman Islands

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

Custodian J.P. MORGAN CHASE BANK, N.A. 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 THE ROYAL BANK OF SCOTLAND PLC LONDON, United Kingdom Related to adviser: No

Custodian UBS AG, STAMFORD BRANCH STAMFORD, Connecticut, United States Related to adviser: No

Prime broker DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom

Prime broker THE ROYAL BANK OF SCOTLAND PLC LONDON, United Kingdom

Prime broker UBS AG, STAMFORD BRANCH STAMFORD, Connecticut, United States

Provider details

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

MORGAN STANLEY & CO. LLC
SEC 8-15869

Fund details & source

Fund ID: 805-5047817239
Reported beneficial owners: 1
Minimum commitment: $1M
Form D file number: 021-90910

Form ADV 692927 · Jan 17, 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.

FQ MACRO MASTER FUND LTD.Hedge Fund · Last reported Mar 28, 2019$175MGross asset value

Feeder funds

FQ MACRO FUND LTD.

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

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian CITIZENS BUSINESS BANK ONTARIO, California, United States Related to adviser: No

Custodian JP MORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No

Prime broker DEUTSCHE BANK AG LONDON, United Kingdom

Prime broker JP MORGAN CHASE BANK, N.A. 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

KPMG
PCAOB 1323

Fund details & source

Fund ID: 805-9306158599
Reported beneficial owners: 7
Minimum commitment: $1M
Form D file number: 021-230661

Form ADV 1279236 · Mar 28, 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.

FQ A-SQUARED FUND LTD.Hedge Fund · Last reported Jan 17, 2013$89.4MGross asset value

Form D fundraising filings

FQ A-Squared Fund Ltd.

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

Auditor KPMG GRAND CAYMAN, Cayman Islands

Custodian J.P. MORGAN CHASE BANK, N.A. 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

Provider details

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

MORGAN STANLEY & CO. LLC
SEC 8-15869

Fund details & source

Fund ID: 805-2811481368
Reported beneficial owners: 3
Minimum commitment: $1M
Form D file number: 021-136895

Form ADV 692927 · Jan 17, 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.

Services & filing details

Most recent filing: Aug 12, 2022. View historical filings

Reported services

Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

330 N. BRAND BLVD., SUITE 800
GLENDALE, CA, 91203, United States

CRD 106698

Filing source

Form ADV 1667738 · Aug 12, 2022 · 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.