Investment adviser · CRD 156509

INVICTA CAPITAL MANAGEMENT, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 30, 2015

Regulatory AUM
$320M
Form ADV · Item 5.F
Client accounts
4
Accounts, not individual clients
Employees
4
Reported in this filing
Advisory professionals
4
Investment advisory functions

Private funds & service providers

4 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.

INVICTA MASTER FUND, LPHedge Fund · Last reported Mar 30, 2015$277MGross asset value

Feeder funds

Fund administrator SS&C GLOBEOP NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG NEW YORK, New York, United States
Custodian JEFFERIES 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
Prime broker JEFFERIES 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

JEFFERIES LLC
SEC 8-15074

JEFFERIES LLC
CRD 2347 · SEC 8-15074

Fund details & source
Fund ID
805-9171718941
Reported beneficial owners
86
Minimum commitment
$1M
Form D file number
021-152995

Form ADV 887636 · Mar 30, 2015 · 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.

INVICTA QP FUND, LPHedge Fund · Last reported Feb 19, 2013$260MGross asset value

Form D fundraising filings

INVICTA QP FUND, L.P.

Fund administrator GLOBEOP NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ROTHSTEIN KASS NEW YORK, New York, United States
Custodian JEFFERIES & COMPANY, INC. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Prime broker JEFFERIES & COMPANY, INC. NEW YORK, New York, United States
Prime broker J.P. MORGAN CLEARING CORP. 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

JEFFERIES & COMPANY, INC.
SEC 8-15074

J.P. MORGAN CLEARING CORP.
SEC 8-43724

JEFFERIES & COMPANY, INC.
CRD 2347 · SEC 8-15074

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source
Fund ID
805-2078114863
Reported beneficial owners
200
Minimum commitment
$1M
Form D file number
021-152995

Form ADV 697464 · Feb 19, 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.

INVICTA OFFSHORE FUND, LTDHedge Fund · Last reported Feb 19, 2013$96MGross asset value

Form D fundraising filings

INVICTA OFFSHORE FUND, LTD.

Fund administrator GLOBEOP NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ROTHSTEIN KASS NEW YORK, New York, United States
Custodian JEFFERIES & COMPANY, INC. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Prime broker JEFFERIES & COMPANY, INC. NEW YORK, New York, United States
Prime broker J.P. MORGAN CLEARING CORP. 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

JEFFERIES & COMPANY, INC.
SEC 8-15074

J.P. MORGAN CLEARING CORP.
SEC 8-43724

JEFFERIES & COMPANY, INC.
CRD 2347 · SEC 8-15074

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source
Fund ID
805-7875035089
Reported beneficial owners
100
Minimum commitment
$1M
Form D file number
021-153596

Form ADV 697464 · Feb 19, 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.

INVICTA FUND, LLCHedge Fund · Last reported Mar 30, 2015$43.5MGross asset value

Form D fundraising filings

Invicta Fund, LLC

Fund administrator APEX FUND SERVICES (PINNACLE FUND ADMINISTRATION) CHARLOTTE, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG NEW YORK, New York, United States
Custodian FIRST REPUBLIC BANK NEW YORK, New York, United States Related to adviser: No
Custodian JEFFERIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker JEFFERIES 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

JEFFERIES LLC
SEC 8-15074

JEFFERIES LLC
CRD 2347 · SEC 8-15074

Fund details & source
Fund ID
805-5231747758
Reported beneficial owners
31
Minimum commitment
$1M
Form D file number
021-117090

Form ADV 887636 · Mar 30, 2015 · 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 30, 2015. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

60 EAST 42ND STREET, SUITE 2005
NEW YORK, NY, 10165, United States

CRD 156509

Filing source

Form ADV 887636 · Mar 30, 2015 · 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.