Investment adviser · CRD 161765

HAWK QUANTITATIVE STRATEGIES, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 27, 2013

Regulatory AUM
$390M
Form ADV · Item 5.F
Client accounts
7
Accounts, not individual clients
Employees
4
Reported in this filing
Advisory professionals
3
Investment advisory functions

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.

PERMAL CAXTON HAWK LTD.Hedge Fund · Last reported Mar 27, 2013$91.9MGross asset value
Fund administrator CITCO FUND SERVICES (CURACAO) B.V. WILLEMSTAD, Other Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian BARCLAYS BANK PLC LONDON, United Kingdom Related to adviser: No
Custodian CITCO BANKING CORPORATION N.V. WILLEMSTAD, CURACAO, Other Related to adviser: No
Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No
Custodian JPMORGAN SECURITIES PLC LONDON, United Kingdom Related to adviser: No
Prime broker BARCLAYS BANK PLC LONDON, United Kingdom
Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States
Prime broker JPMORGAN SECURITIES PLC LONDON, United Kingdom
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

Fund details & source
Fund ID
805-4906509661
Reported beneficial owners
3
Minimum commitment
$100K

Form ADV 711996 · Mar 27, 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.

CAXTON HAWK (DIVERSIFIED) HOLDINGS LTD.Hedge Fund · Last reported Mar 27, 2013$48.5MGross asset value

Feeder funds

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LLP NEW YORK, New York, United States
Custodian BARCLAYS BANK PLC LONDON, United Kingdom Related to adviser: No
Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No
Custodian JPMORGAN CHASE BANK, N.A. SAN ANTONIO, Texas, United States Related to adviser: No
Custodian JPMORGAN SECURITIES PLC LONDON, United Kingdom Related to adviser: No
Prime broker BARCLAYS BANK PLC LONDON, United Kingdom
Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States
Prime broker JPMORGAN SECURITIES PLC LONDON, United Kingdom
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

Fund details & source
Fund ID
805-8838979543
Reported beneficial owners
6
Minimum commitment
$5M
Form D file number
021-134192

Form ADV 711996 · Mar 27, 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: Mar 27, 2013. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

500 PARK AVENUE
NEW YORK, NY, 10022, United States

CRD 161765

Filing source

Form ADV 711996 · Mar 27, 2013 · 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.