Investment adviser · CRD 157106

JAMES ALPHA MANAGEMENT, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 30, 2020

Regulatory AUM: $105M
Client accounts: 2
Employees: 7
Advisory professionals: 4

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	3	$105,320,547	100.0%

Filing source

Form ADV 1389564 · Mar 30, 2020 · 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

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.

JAMES ALPHA SABRE DYNAMIC EQUITY MASTER FUND, LPHedge Fund · Last reported Mar 30, 2020$106MGross asset value

Feeder funds

JAMES ALPHA SABRE DYNAMIC EQUITY FUND, LP
SABRE DYNAMIC EQUITY FUND, LTD

Fund administrator VISTRA, LLC NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG MONTVALE, New Jersey, United States

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

Marketer FDX CAPITAL LLC NEW YORK, New York, United States Related to adviser: Yes

Prime broker DEUTSCHE BANK AG LONDON, United Kingdom

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

KPMG
PCAOB 185

FDX CAPITAL LLC
CRD 119302 · SEC 8-65170

Fund details & source

Fund ID: 805-7529136164
Reported beneficial owners: 2
Minimum commitment: $1M

Form ADV 1389564 · Mar 30, 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.

JAMES ALPHA SMALL CAP MASTER FUND, LPHedge Fund · Last reported Feb 15, 2012$227MGross asset value

Feeder funds

JAMES ALPHA SMALL CAP FUND, LP
JAMES ALPHA SMALL CAP FUND, LTD.

Fund administrator GLOBOP FINANCIAL SERVICES LTD. CAMANA BAY, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ROTHSTEIN KASS ROSELAND, New Jersey, 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

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

Fund details & source

Fund ID: 805-9171718941
Reported beneficial owners: 150
Minimum commitment: $1M

Form ADV 611529 · Feb 15, 2012 · 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.

JAMES ALPHA DISCIPLINED GROWTH MASTER FUND, LPHedge Fund · Last reported Mar 29, 2016$37.6MGross asset value

Feeder funds

JAMES ALPHA DISCIPLINED GROWTH FUND, LP
JAMES ALPHA DISCIPLINED GROWTH FUND, LTD

Fund administrator ORANGEFIELD COLUMBUS AVENUE CONSULTING, LLC NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG MONTVALE, New Jersey, United States

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

Prime broker GOLDMAN, SACHS & CO. 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

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

Fund details & source

Fund ID: 805-6638649126
Reported beneficial owners: 2
Minimum commitment: $1M

Form ADV 990120 · 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.

JAMES ALPHA LIQUID GSE MASTER FUND, SPCHedge Fund · Last reported Apr 30, 2013$32.2MGross asset value

Feeder funds

JAMES ALPHA LIQUID GSE FUND, LLC

Fund administrator GLOBEOP FINANCIAL SERVICES LTD. CAMANA BAY, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ROTHSTEIN KASS ROSELAND, New Jersey, United States

Custodian CANTOR FITZGERALD & COMPANY NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN CHASE NEW YORK, New York, United States Related to adviser: No

Prime broker CANTOR FITZGERALD & COMPANY 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

Fund details & source

Fund ID: 805-3122340595
Reported beneficial owners: 8
Minimum commitment: $1M
Form D file number: 021-172435

Form ADV 734914 · Apr 30, 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.

JAMES ALPHA CIE MASTER FUND, LPHedge Fund · Last reported Oct 21, 2014$25.1MGross asset value

Feeder funds

JAMES ALPHA CIE FUND, LP

Fund administrator ORANGEFIELD COLUMBUS AVENUE CONSULTING, LLC NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG ROSELAND, New Jersey, United States

Custodian JEFFERIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian JP MORGAN CHASE 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: 805-3565631684
Reported beneficial owners: 1
Minimum commitment: $1M
Form D file number: 021-181457

Form ADV 850330 · Oct 21, 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.

JAMES ALPHA GLOBAL REAL ESTATE MASTER FUND, LPHedge Fund · Last reported Mar 29, 2016$18.9MGross asset value

Feeder funds

JAMES ALPHA GLOBAL REAL ESTATE FUND, LP
JAMES ALPHA GLOBAL REAL ESTATE FUND, LTD

Fund administrator ORANGEFIELD COLUMBUS AVENUE CONSULTING, LLC NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG MONTVALE, New Jersey, 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: 805-4273114947
Reported beneficial owners: 1
Minimum commitment: $1M

Form ADV 990120 · 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.

JAMES ALPHA EMERGING MARKETS FIXED INCOME FUND, LPHedge Fund · Last reported Oct 21, 2014$79.2KGross asset value

Custodian JP MORGAN CHASE 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: No
External marketing: No

Fund details & source

Fund ID: 805-5056678308
Reported beneficial owners: 1
Minimum commitment: $1M

Form ADV 850330 · Oct 21, 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.

Services & filing details

Most recent filing: Mar 30, 2020. View historical filings

Reported services

Individual portfolio management · Pooled investment vehicle management · Selection of other advisers

Compensation

Percentage of assets · Performance-based

Principal office

515 MADISON AVENUE, 24TH FLOOR
NEW YORK, NY, 10022, United States

CRD 157106

Filing source

Form ADV 1389564 · Mar 30, 2020 · 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.