Investment adviser · CRD 104979

HARBOURVIEW ASSET MANAGEMENT CORPORATION

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Feb 8, 2021

Regulatory AUM: $386M
Client accounts: 1
Employees: 0
Advisory professionals: 0

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	$386,368,479	100.0%

Filing source

Form ADV 1491640 · Feb 8, 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

10 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.

HARBOURVIEW CLO VII, LIMITEDSecuritized Asset Fund · Last reported Feb 8, 2021$386MGross asset value

Fund administrator U.S. BANK NATIONAL ASSOCIATION SAINT PAUL, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian U.S. BANK NATIONAL ASSOCIATION SAINT PAUL, Minnesota, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-7848292436
Reported beneficial owners: 4
Minimum commitment: $250K

Form ADV 1491640 · Feb 8, 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.

AAARDVARK FUNDING LIMITEDSecuritized Asset Fund · Last reported Mar 31, 2014$887MGross asset value

Fund administrator OPPENHEIMERFUNDS, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Custodian BANK OF NEW YORK NEW YORK, New York, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-4533279604
Reported beneficial owners: 7
Minimum commitment: $100M

Form ADV 803627 · Mar 31, 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.

AAARDVARK IV FUNDING LIMITEDSecuritized Asset Fund · Last reported Mar 31, 2014$284MGross asset value

Fund administrator OPPENHEIMERFUNDS, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Custodian BANK OF NEW YORK NEW YORK, New York, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-8952330028
Reported beneficial owners: 4
Minimum commitment: $25M

Form ADV 803627 · Mar 31, 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.

AAARDVARK XS FUNDING LIMITEDSecuritized Asset Fund · Last reported Mar 28, 2013$220MGross asset value

Fund administrator OPPENHEIMERFUNDS, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Custodian BANK OF NEW YORK NEW YORK, New York, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-1897249391
Reported beneficial owners: 2
Minimum commitment: $60M

Form ADV 721924 · Mar 28, 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.

AARDVARK ABS CDO 2007-1Hedge Fund · Last reported Jan 14, 2013$130MGross asset value

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

Custodian DEUTSCHE BANK SANTA ANA, California, United States Related to adviser: No

Marketer MIZUHO SECURITIES NEW YORK, New York, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-5650261786
Reported beneficial owners: 0
Minimum commitment: $500K

Form ADV 691866 · Jan 14, 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.

AAARDVARK II FUNDING LIMITEDHedge Fund · Last reported Jan 14, 2013$77.2MGross asset value

Fund administrator OPPENHEIMERFUNDS, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Custodian BANK OF NEW YORK NEW YORK, New York, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-4514821812
Reported beneficial owners: 2
Minimum commitment: $100M

Form ADV 691866 · Jan 14, 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.

HARBOURVIEW CDO III, LTD.Securitized Asset Fund · Last reported Aug 9, 2017$22.9MGross asset value

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

Custodian DEUTSCHE BANK SANTA ANA, California, United States Related to adviser: No

Provider details

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

Fund details & source

Fund ID: 805-2425675121
Reported beneficial owners: 0
Minimum commitment: $1M

Form ADV 1133182 · Aug 9, 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.

Services & filing details

Most recent filing: Feb 8, 2021. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

225 LIBERTY STREET
NEW YORK, NY, 10281, United States

CRD 104979

Filing source

Form ADV 1491640 · Feb 8, 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.