Investment adviser · CRD 169909

LAKEWATER CAPITAL LLC

Investment adviser filing (IA)

SKANEATELES, NY, United States · Form ADV filed Mar 29, 2018

Regulatory AUM: $41.4M
Client accounts: 8
Employees: 6
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	1	$33,275,995	80.4%
High-net-worth individuals	7	$8,131,563	19.6%

Filing source

Form ADV 1173846 · Mar 29, 2018 · 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

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

LAKEWATER TOTAL RETURN OPPORTUNITY FUND, L.P.Hedge Fund · Last reported Mar 29, 2018$33.3MGross asset value

Form D fundraising filings

LakeWater Total Return Opportunity Fund, L.P.

Fund administrator SS&C WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor BDO USA NEW YORK, New York, United States

Custodian BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States Related to adviser: No

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

Marketer PINNACLE INVESTMENTS, LLC SYRACUSE, New York, United States Related to adviser: No

Prime broker BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States

Prime broker GOLDMAN SACHS & CO. 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: Yes

BDO USA
PCAOB 243

BNP PARIBAS PRIME BROKERAGE, INC.
SEC 8-40490

GOLDMAN SACHS & CO. LLC
SEC 8-129

PINNACLE INVESTMENTS, LLC
CRD 142910 · SEC 801-67860

BNP PARIBAS PRIME BROKERAGE, INC.
CRD 24962 · SEC 8-40490

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

Fund details & source

Fund ID: 805-3137294289
Reported beneficial owners: 64
Minimum commitment: $500K
Form D file number: 021-141418

Form ADV 1173846 · Mar 29, 2018 · 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 29, 2018. View historical filings

Reported services

Individual portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

3 FENNEL STREET, SUITE 3
SKANEATELES, NY, 13152, United States

CRD 169909

Filing source

Form ADV 1173846 · Mar 29, 2018 · 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.