GEODE CAPITAL MANAGEMENT LP – investment adviser, $208M 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	8	$207,673,800	99.9%
Corporations & businesses	Fewer than 5	$154,400	0.1%

Filing source

Form ADV 1505834 · Mar 31, 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

3 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.

GEODE DIVERSIFIED FUND, A SEGREGATED ACCOUNT OF GEODE CAPITAL MASTER FUND LTDHedge Fund · Last reported Mar 31, 2021$183MGross asset value

Feeder funds

GEODE DIVERSIFIED FUND, A SEGREGATED ACCOUNT OF GEODE CAPITAL OFFSHORE FUND LTD.
GEODE DIVERSIFIED FUND, A SERIES OF GEODE CAPITAL PARTNERS LP
US COMPOSITE, A SERIES OF GEODE INVESTORS LLC

Fund administrator CONYERS MANAGEMENT (BERMUDA) LIMITED HAMILTON, Bermuda Investor statements: No (provided to no investors) Related to adviser: No

Fund administrator MORGAN STANLEY FUND SERVICES (CAYMAN) LTD. DUBLIN, Ireland Investor statements: No (provided to no investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP BOSTON, Massachusetts, United States

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

Prime broker GOLDMAN SACHS & CO. LLC 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

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

GOLDMAN SACHS & CO. LLC
SEC 8-129

MORGAN STANLEY & CO. LLC
SEC 8-15869

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

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

Fund details & source

Fund ID: 805-9451779350
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 1505834 · Mar 31, 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.

GEODE MULTI ASSET PREMIA FUND A SEGREGATED ACCOUNT OF GEODE CAPITAL MASTER FUND LTDHedge Fund · Last reported Mar 31, 2021$7.36MGross asset value

Feeder funds

GEODE MULTI ASSET PREMIA FUND A SERIES OF GEODE CAPITAL PARTNERS LP

Fund administrator CONYERS MANAGEMENT (BERMUDA) LIMITED HAMILTON, Bermuda Investor statements: No (provided to no investors) Related to adviser: No

Fund administrator MORGAN STANLEY FUND SERVICES (CAYMAN) LTD DUBLIN, Ireland Investor statements: No (provided to no investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP BOSTON, Massachusetts, United States

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

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

MORGAN STANLEY & CO. LLC
SEC 8-15869

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

Fund details & source

Fund ID: 805-9316270468
Reported beneficial owners: 1
Minimum commitment: $0

Form ADV 1505834 · Mar 31, 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.

GEODE GLOBAL DYNAMIC MARKET NEUTRAL FUND, A SEGREGATED ACCOUNT OF GEODE CAPITAL MASTER FUND LTD.Hedge Fund · Last reported Mar 31, 2021$4.87MGross asset value

Feeder funds

GEODE GLOBAL DYNAMIC MARKET NEUTRAL FUND, A SEGREGATED ACCOUNT OF GEODE CAPITAL OFFSHORE FUND LTD
GEODE GLOBAL DYNAMIC MARKET NEUTRAL FUND - A SERIES OF GEODE CAPITAL PARTNERS LP

Fund administrator CONYERS MANAGEMENT (BERMUDA) LIMITED HAMILTON, Bermuda Investor statements: No (provided to no investors) Related to adviser: No

Fund administrator MORGAN STANLEY FUND SERVICES (CAYMAN) LTD DUBLIN, Ireland Investor statements: No (provided to no investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP BOSTON, Massachusetts, United States

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

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

MORGAN STANLEY & CO. LLC
SEC 8-15869

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

Fund details & source

Fund ID: 805-9167465195
Reported beneficial owners: 7
Minimum commitment: $0

Form ADV 1505834 · Mar 31, 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.

Services & filing details

Most recent filing: Mar 31, 2021. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

100 SUMMER ST, 12TH FLOOR
BOSTON, MA, 02110, United States

CRD 132365

Filing source

Form ADV 1505834 · Mar 31, 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.