LAMPE, CONWAY & CO. LLC – investment adviser, $68.3M regulatory AUM (Form ADV)

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 investment advisers	Fewer than 5	$63,000,000	92.3%
High-net-worth individuals	Fewer than 5	$4,250,000	6.2%
Retirement plans	Fewer than 5	$1,000,000	1.5%
Individuals	Fewer than 5	$0	0.0%
Banks & thrifts	Fewer than 5	Not reported	Not reported
Charities	Fewer than 5	Not reported	Not reported
Government entities	Fewer than 5	Not reported	Not reported
Insurance companies	Fewer than 5	Not reported	Not reported
Sovereign wealth & foreign institutions	Fewer than 5	Not reported	Not reported
Corporations & businesses	Fewer than 5	$0	0.0%

Filing source

Form ADV 1512505 · Mar 17, 2021 · 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

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.

LC CAPITAL MASTER FUND, LTDHedge Fund · Last reported Mar 17, 2021$75.2MGross asset value

Feeder funds

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

Auditor RAPHAEL GOLDBERG NIKPOUR COHEN & SULLIVAN CPA'S PLLC NEW YORK, New York, United States

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

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

RAPHAEL GOLDBERG NIKPOUR COHEN & SULLIVAN CPA'S PLLC
PCAOB 5028

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

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

Fund details & source

Fund ID: 805-2049495369
Reported beneficial owners: 30
Minimum commitment: $100K
Form D file number: 021-47008
Form D file number: 021-66374

Form ADV 1512505 · Mar 17, 2021 · 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.

LC CAPITAL TARGETED OPPORTUNITIES FUND, LPHedge Fund · Last reported Mar 17, 2021$5.3MGross asset value

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

Auditor RAPHAEL GOLDBERG NIKPOUR COHEN & SULLIVAN CPA'S PLLC NEW YORK, New York, United States

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

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

RAPHAEL GOLDBERG NIKPOUR COHEN & SULLIVAN CPA'S PLLC
PCAOB 5028

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

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

Fund details & source

Fund ID: 805-3812996747
Reported beneficial owners: 2
Minimum commitment: $1M

Form ADV 1512505 · Mar 17, 2021 · 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 17, 2021. View historical filings

Reported services

Individual portfolio management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

680 FIFTH AVENUE - SUITE 1202
NEW YORK, NY, 10019-5429, United States

CRD 138194

Filing source

Form ADV 1512505 · Mar 17, 2021 · 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.