Investment adviser · CRD 127542

LAKE UNION CAPITAL MANAGEMENT, LLC

Investment adviser filing (IA)

SEATTLE, WA, United States · Form ADV filed Apr 30, 2013

Regulatory AUM
$54.5M
Form ADV · Item 5.F
Client accounts
2
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.

LAKE UNION CAPITAL FUND, LPHedge Fund · Last reported Apr 30, 2013$40.9MGross asset value

Form D fundraising filings

Lake Union Capital Fund L P

Fund administrator ALPS PRICE MEADOWS BELLEVUE, Washington, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor MARCUM LLC MELVILLE, New York, United States
Custodian UBS SECURITIES LLC SAN FRANCISCO, California, United States Related to adviser: No
Prime broker UBS SECURITIES LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

UBS SECURITIES LLC
SEC 8-22651

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source
Fund ID
805-9163908228
Reported beneficial owners
1
Minimum commitment
$1M
Form D file number
021-70738

Form ADV 732807 · 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.

LAKE UNION CAPITAL TE FUND, LPHedge Fund · Last reported Apr 30, 2013$13.6MGross asset value

Form D fundraising filings

LAKE UNION CAPITAL MONTLAKE FUND, LP

Fund administrator ALPS PRICE MEADOWS BELLEVUE, Washington, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor MARCUM LLP MELVILLE, New York, United States
Custodian GOLDMAN, SACHS & CO. JERSEY CITY, New Jersey, United States Related to adviser: No
Prime broker BTIG, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

GOLDMAN, SACHS & CO.
SEC 8-129

BTIG, LLC
CRD 122225 · SEC 8-65473

Fund details & source
Fund ID
805-5845851832
Reported beneficial owners
1
Minimum commitment
$1M
Form D file number
021-166707

Form ADV 732807 · 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.

Services & filing details

Most recent filing: Apr 30, 2013. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

601 UNION STREET, SUITE 4616
SEATTLE, WA, 98101, United States

CRD 127542

Filing source

Form ADV 732807 · Apr 30, 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.