Investment adviser · CRD 108258

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

Investment adviser filing (IA)

PALM BEACH GARDENS, FL, United States · Form ADV filed Jun 5, 2023

Regulatory AUM: $394M
Client accounts: 3
Employees: 13
Advisory professionals: 6

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
Other clients	2	$285,438,342	72.5%
Pooled investment vehicles	1	$108,305,279	27.5%
Other investment advisers	49	$0	0.0%

Filing source

Form ADV 1767219 · Jun 5, 2023 · 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.

LONG BALL PARTNERS, LLCHedge Fund · Last reported Jun 5, 2023$108MGross asset value

Form D fundraising filings

LONG BALL PARTNERS LLC

Auditor BDO USA, LLP LOS ANGELES, California, United States

Custodian BANK OF AMERICA, N.A. TAMPA, Florida, United States Related to adviser: No

Custodian CITY NATIONAL BANK LOS ANGELES, California, United States Related to adviser: No

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States

Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States

Provider details

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

BDO USA, LLP
PCAOB 243

BANK OF AMERICA, N.A.
LEI B4TYDEB6GKMZO031MB27

CITY NATIONAL BANK
LEI 593C3GZG957YOJPS2Z63

GOLDMAN SACHS & CO. LLC
SEC 8-129

INTERACTIVE BROKERS LLC
SEC 8-47257

PERSHING LLC
SEC 8-17574

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

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

PERSHING LLC
CRD 7560 · SEC 8-17574

Fund details & source

Fund ID: 805-8634527884
Reported beneficial owners: 68
Minimum commitment: $1M
Form D file number: 021-70830

Form ADV 1767219 · Jun 5, 2023 · 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.

IC LEVERAGE INCOME FUND, LLCHedge Fund · Last reported Aug 5, 2020$39.8MGross asset value

Auditor BDO USA, LLP LOS ANGELES, California, United States

Custodian PERSHING LLC JERSEY CITY, New Jersey, 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

BDO USA, LLP
PCAOB 243

PERSHING LLC
SEC 8-17574

Fund details & source

Fund ID: 805-9827354516
Reported beneficial owners: 4
Minimum commitment: $1M

Form ADV 1447886 · Aug 5, 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.

HUDSON CLEAN ENERGY PARTNER AIV, L.P.Private Equity Fund · Last reported Mar 31, 2022$19MGross asset value

Fund administrator SS & C TECHNOLOGIES, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian CITIZENS BANK RIVERSIDE, Rhode Island, 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

ERNST & YOUNG LLP
PCAOB 42

Fund details & source

Fund ID: 805-1439207911
Reported beneficial owners: 26
Minimum commitment: $5M

Form ADV 1590349 · Mar 31, 2022 · 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.

HUDSON CLEAN ENERGY PARTNERS (MASTER) AIV, L.P.Private Equity Fund · Last reported Mar 31, 2022$7.59MGross asset value

Feeder funds

HUDSON CLEAN ENERGY PARTNERS (CAYMAN), L.P.

Fund administrator SS & C TECHNOLOGIES, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian CITIZENS BANK RIVERSIDE, Rhode Island, 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

ERNST & YOUNG LLP
PCAOB 42

Fund details & source

Fund ID: 805-4667853814
Reported beneficial owners: 12
Minimum commitment: $5M

Form ADV 1590349 · Mar 31, 2022 · 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.

HUDSON CLEAN ENERGY PARTNERS, L.P.Private Equity Fund · Last reported Mar 31, 2022$5.53MGross asset value

Fund administrator SS & C TECHNOLOGIES, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian CITIZENS BANK RIVERSIDE, Rhode Island, 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

ERNST & YOUNG LLP
PCAOB 42

Fund details & source

Fund ID: 805-9880024135
Reported beneficial owners: 26
Minimum commitment: $5M

Form ADV 1590349 · Mar 31, 2022 · 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.

IC VOLATILITY FUNDHedge Fund · Last reported Feb 27, 2017$3.51MGross asset value

Auditor BDO USA, LLP LOS ANGELES, California, United States

Custodian PERSHING LLC JERSEY CITY, New Jersey, 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

PERSHING LLC
SEC 8-17574

Fund details & source

Fund ID: 805-6791038556
Reported beneficial owners: 4
Minimum commitment: $100K

Form ADV 1078665 · Feb 27, 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.

HUDSON CLEAN ENERGY PARTNERS CO-INVEST, L.P.Private Equity Fund · Last reported Mar 31, 2022$2.91MGross asset value

Fund administrator SS & C TECHNOLOGIES, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian CITIZENS BANK RIVERSIDE, Rhode Island, 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

ERNST & YOUNG LLP
PCAOB 42

Fund details & source

Fund ID: 805-7054794357
Reported beneficial owners: 25
Minimum commitment: $500K
Form D file number: 021-129910

Form ADV 1590349 · Mar 31, 2022 · 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: Jun 5, 2023. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Subscription · Performance-based

Principal office

3801 PGA BOULEVARD, SUITE 603
PALM BEACH GARDENS, FL, 33410, United States

CRD 108258

Filing source

Form ADV 1767219 · Jun 5, 2023 · 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.