Investment adviser · CRD 159775

HIGHER MOMENT CAPITAL LLC

Investment adviser filing (IA)

BOSTON, MA, United States · Form ADV filed Nov 7, 2016

Regulatory AUM
$256M
Form ADV · Item 5.F
Client accounts
5
Accounts, not individual clients
Employees
7
Reported in this filing
Advisory professionals
2
Investment advisory functions

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.

HIGHER MOMENT FUND LLCHedge Fund · Last reported Nov 7, 2016$158MGross asset value
Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM LP BOSTON, Massachusetts, United States
Custodian US BANK MINNEAPOLIS, Minnesota, United States Related to adviser: No
Marketer ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, 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
Yes

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD 135131 · SEC 8-66889

Fund details & source
Fund ID
805-9353738374
Reported beneficial owners
51
Minimum commitment
$1M
Form D file number
021-270839

Form ADV 1041855 · Nov 7, 2016 · 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.

HIGHER MOMENT OPPORTUNITIES MASTER FUND LTD.Hedge Fund · Last reported Nov 7, 2016$140MGross asset value
Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM LLP BOSTON, Massachusetts, United States
Custodian US BANK MINNEAPOLIS, Minnesota, United States Related to adviser: No
Marketer ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC NEW YORK, New York, United States Related to adviser: No
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD 135131 · SEC 8-66889

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

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

Fund details & source
Fund ID
805-7562095292
Reported beneficial owners
52
Minimum commitment
$1M

Form ADV 1041855 · Nov 7, 2016 · 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.

HIGHER MOMENT AURORA MASTER FUND LTD.Hedge Fund · Last reported Nov 7, 2016$79.8MGross asset value
Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM LLP BOSTON, Massachusetts, United States
Custodian US BANK MINNEAPOLIS, Minnesota, United States Related to adviser: No
Marketer ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC NEW YORK, New York, United States Related to adviser: No
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD 135131 · SEC 8-66889

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

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

Fund details & source
Fund ID
805-4848337335
Reported beneficial owners
17
Minimum commitment
$1M

Form ADV 1041855 · Nov 7, 2016 · 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.

HIGHER MOMENT FUND LTD.Hedge Fund · Last reported Nov 7, 2016$47.7MGross asset value
Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM US LLP BOSTON, Massachusetts, United States
Custodian US BANK MINNEAPOLIS, Minnesota, United States Related to adviser: No
Marketer ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, 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
Yes

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD 135131 · SEC 8-66889

Fund details & source
Fund ID
805-4826559263
Reported beneficial owners
18
Minimum commitment
$1M

Form ADV 1041855 · Nov 7, 2016 · 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.

HIGHER MOMENT MULTI STRATEGY MASTER FUND LTD.Hedge Fund · Last reported Nov 7, 2016$0Gross asset value
Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM LLP BOSTON, Massachusetts, United States
Custodian US BANK MINNEAPOLIS, Minnesota, United States Related to adviser: No
Marketer ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, 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
Yes

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD 135131 · SEC 8-66889

Fund details & source
Fund ID
805-8669424129
Reported beneficial owners
0
Minimum commitment
$1M

Form ADV 1041855 · Nov 7, 2016 · 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.

HIGHER MOMENT AURORA FUND, LPHedge Fund · Last reported Mar 29, 2016$125MGross asset value

Form D fundraising filings

Higher Moment Aurora Fund, LP

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM LLP (FORMERLY NAMED MCGLADREY LLP) BOSTON, Massachusetts, United States
Custodian GOLDMAN SACHS EXECUTION & CLEARING, L.P. NEW YORK, New York, United States Related to adviser: No
Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No
Custodian TD BANK, NA MT. LAUREL, New Jersey, United States Related to adviser: No
Custodian THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION JERSEY CITY, New Jersey, United States Related to adviser: No
Custodian VANGUARD MARKETING CORPORATION MALVERN, Pennsylvania, United States Related to adviser: No
Marketer ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC NEW YORK, New York, United States Related to adviser: No
Marketer BHA SELECT NETWORK, LLC BOSTON, Massachusetts, United States Related to adviser: No
Marketer CHARTWELL ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No
Prime broker GOLDMAN SACHS EXECUTION & CLEARING, L.P. NEW YORK, New York, United States
Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States
Prime broker VANGUARD MARKETING CORPORATION MALVERN, Pennsylvania, United States
Prime broker WELLS FARGO PRIME SERVICES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

GOLDMAN SACHS EXECUTION & CLEARING, L.P.
SEC 8-526

INTERACTIVE BROKERS LLC
SEC 8-47257

VANGUARD MARKETING CORPORATION
SEC 8-21570

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD 135131 · SEC 8-66889

BHA SELECT NETWORK, LLC
CRD 168883 · SEC 8-69341

CHARTWELL ADVISORS, LLC
CRD 139725 · SEC 8-67241

GOLDMAN SACHS EXECUTION & CLEARING, L.P.
CRD 3466 · SEC 8-526

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

VANGUARD MARKETING CORPORATION
CRD 7452 · SEC 8-21570

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

Fund details & source
Fund ID
805-6573573640
Reported beneficial owners
18
Minimum commitment
$1M
Form D file number
021-171141

Form ADV 991295 · Mar 29, 2016 · 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.

HIGHER MOMENT CAPITAL OPPORTUNITIES, LPHedge Fund · Last reported Mar 29, 2016$81.3MGross asset value

Form D fundraising filings

Higher Moment Capital Opportunities, LP

Feeder funds

  • HIGHER MOMENT FUND LTD.
Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM LLP (FORMERLY NAMED MCGLADREY LLP) BOSTON, Massachusetts, United States
Custodian GOLDMAN SACHS EXECUTION & CLEARING, L.P. NEW YORK, New York, United States Related to adviser: No
Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No
Custodian TD BANK, N.A. MT. LAUREL, New Jersey, United States Related to adviser: No
Custodian THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION JERSEY CITY, New Jersey, United States Related to adviser: No
Marketer ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC NEW YORK, New York, United States Related to adviser: No
Marketer BHA SELECT NETWORK, LLC NEW YORK, New York, United States Related to adviser: No
Marketer CHARTWELL ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No
Prime broker GOLDMAN SACHS EXECUTION & CLEARING, L.P. NEW YORK, New York, United States
Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States
Prime broker WELLS FARGO PRIME SERVICES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

GOLDMAN SACHS EXECUTION & CLEARING, L.P.
SEC 8-526

INTERACTIVE BROKERS LLC
SEC 8-47257

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD 135131 · SEC 8-66889

BHA SELECT NETWORK, LLC
CRD 168883 · SEC 8-69341

CHARTWELL ADVISORS, LLC
CRD 139725 · SEC 8-67241

GOLDMAN SACHS EXECUTION & CLEARING, L.P.
CRD 3466 · SEC 8-526

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

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

Fund details & source
Fund ID
805-2538473826
Reported beneficial owners
33
Minimum commitment
$1M
Form D file number
021-178738

Form ADV 991295 · Mar 29, 2016 · 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: Nov 7, 2016. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

ONE INTERNATIONAL PLACE, SUITE 4520
BOSTON, MA, 02110, United States

CRD 159775

Filing source

Form ADV 1041855 · Nov 7, 2016 · 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.