Investment adviser · CRD 109478

FSI GROUP, LLC

Investment adviser filing (IA)

CINCINNATI, OH, United States · Form ADV filed Feb 21, 2020

Regulatory AUM: $89.5M
Client accounts: 3
Employees: 5
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	1	$80,156,852	89.6%
Other clients	2	$9,305,705	10.4%
Individuals	Fewer than 5	Not reported	Not reported
High-net-worth individuals	Fewer than 5	Not reported	Not reported
Banks & thrifts	Fewer than 5	Not reported	Not reported
Retirement plans	Fewer than 5	Not reported	Not reported
Charities	Fewer than 5	Not reported	Not reported
Government entities	Fewer than 5	Not reported	Not reported
Other investment advisers	Fewer than 5	Not reported	Not reported
Insurance companies	Fewer than 5	Not reported	Not reported
Sovereign wealth & foreign institutions	Fewer than 5	Not reported	Not reported
Corporations & businesses	Fewer than 5	Not reported	Not reported

Filing source

Form ADV 1383055 · Feb 21, 2020 · 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.

FINANCIAL STOCKS LIMITED PARTNERSHIPHedge Fund · Last reported Feb 21, 2020$80.2MGross asset value

Form D fundraising filings

Financial Stocks Limited Partnership

Fund administrator APEX FUND SERVICES SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor CLARK SCHAEFER HACKETT CINCINNATI, Ohio, United States

Custodian WELLS FARGO PRIME SERVICES, LLC SAN FRANCISCO, California, United States Related to adviser: No

Marketer FLYING CLOUD SECURITIES LLC SAN FRANCISCO, California, United States Related to adviser: No

Marketer STIFEL, NICOLAUS & COMPANY, INCORPORATED CINCINNATI, Ohio, United States Related to adviser: Yes

Prime broker WELLS FARGO PRIME SERVICES, 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

CLARK SCHAEFER HACKETT
PCAOB 539

WELLS FARGO PRIME SERVICES, LLC
SEC 8-66677

FLYING CLOUD SECURITIES LLC
CRD 167621 · SEC 8-69270

STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD 793 · SEC 801-10746

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

Fund details & source

Fund ID: 805-3599590731
Reported beneficial owners: 53
Minimum commitment: $250K
Form D file number: 021-81268

Form ADV 1383055 · Feb 21, 2020 · 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.

PM MANAGER FUND, SPC.-SEGREGATED PORTFOLIO 23Hedge Fund · Last reported Apr 18, 2012$37.9MGross asset value

Fund administrator MORGAN STANLEY FUND SERVICES (BERMUDA) LTD HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE, LLP GRAND CAYMAN, Cayman Islands

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, 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

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

Fund details & source

Fund ID: 805-5862576633
Reported beneficial owners: 24
Minimum commitment: $250K
Form D file number: 021-141055

Form ADV 641514 · Apr 18, 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.

FINANCIAL STOCKS CAPITAL PARTNERS III L.P.Private Equity Fund · Last reported Mar 30, 2015$27MGross asset value

Auditor ERNST & YOUNG CINCINNATI, Ohio, United States

Custodian PNC FINANCIAL SERVICES GROUP, INC. CLEVELAND, Ohio, 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

Fund details & source

Fund ID: 805-8202403782
Reported beneficial owners: 210
Minimum commitment: $250K
Form D file number: 021-59712

Form ADV 886454 · Mar 30, 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.

FSI SKYLINE FUND OC, LTD.Private Equity Fund · Last reported Apr 18, 2012$17.1MGross asset value

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

Auditor ERNST & YOUNG CINCINNATI, Ohio, United States

Custodian FIFTH THIRD BANK CINCINNATI, Ohio, 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

Fund details & source

Fund ID: 805-5558284897
Reported beneficial owners: 1
Minimum commitment: $20M

Form ADV 641514 · Apr 18, 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.

FINANCIAL STOCKS CAPITAL PARTNERS V L.P.Private Equity Fund · Last reported Mar 28, 2018$7.72MGross asset value

Feeder funds

FINANCIAL STOCKS CAPITAL PARTNERS V OFFSHORE FUND, LTD.

Auditor ERNST & YOUNG LLP CINCINNATI, Ohio, United States

Custodian FIFTH THIRD BANK CINCINNATI, Ohio, 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

ERNST & YOUNG LLP
PCAOB 42

Fund details & source

Fund ID: 805-7220751735
Reported beneficial owners: 215
Minimum commitment: $1M
Form D file number: 021-10484

Form ADV 1188003 · Mar 28, 2018 · 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.

FINANCIAL STOCKS CAPITAL PARTNERS IV L.P.Private Equity Fund · Last reported Apr 19, 2017$2.98MGross asset value

Feeder funds

FINANCIAL STOCKS CAPITAL PARTNERS IV OFFSHORE FUND, LTD.

Auditor ERNST & YOUNG CINCINNATI, Ohio, United States

Custodian FIFTH THIRD BANK CINCINNATI, Ohio, 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

Fund details & source

Fund ID: 805-3976539350
Reported beneficial owners: 236
Minimum commitment: $1M
Form D file number: 021-76280

Form ADV 1108680 · Apr 19, 2017 · 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.

FINANCIAL STOCKS CAPITAL PARTNERS II L.P.Private Equity Fund · Last reported Mar 26, 2014$51KGross asset value

Auditor ERNST & YOUNG CINCINNATI, Ohio, United States

Custodian PNC FINANCIAL SERVICES GROUP, INC. CLEVELAND, Ohio, 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

Fund details & source

Fund ID: 805-8263234537
Reported beneficial owners: 0
Minimum commitment: $300K
Form D file number: 021-51573

Form ADV 790789 · Mar 26, 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: Feb 21, 2020. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

441 VINE STREET, SUITE 1300
CINCINNATI, OH, 45202, United States

CRD 109478

Filing source

Form ADV 1383055 · Feb 21, 2020 · 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.