Investment adviser · CRD 159649

LATERAL INVESTMENT MANAGEMENT, LLC

Investment adviser filing (IA)

BURLINGAME, CA, United States · Form ADV filed Jun 26, 2026

Regulatory AUM: $1B
Client accounts: 23
Employees: 24
Advisory professionals: 13

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	23	$1,003,867,391	100.0%

Filing source

Form ADV 2106328 · Jun 26, 2026 · 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

20 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.

LATERAL U.S. CREDIT OPPORTUNITIES FUND QP, L.P.Other Private Fund · Last reported Jun 26, 2026$256MGross asset value

Form D fundraising filings

Lateral U.S. Credit Opportunities Fund QP, L.P.

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

Auditor CITRIN COOPERMAN & COMPANY, LLP NEW YORK, New York, United States

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

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

CITRIN COOPERMAN & COMPANY, LLP
PCAOB 2468

J.P. MORGAN SECURITIES LLC
SEC 8-35008

Fund details & source

Fund ID: 805-4762924586
Reported beneficial owners: 51
Minimum commitment: $1M
Form D file number: 021-342526

Form ADV 2106328 · Jun 26, 2026 · 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.

NIAGARA CREDIT INCOME FUND QP, LPOther Private Fund · Last reported Jun 26, 2026$241MGross asset value

Feeder funds

NIAGARA CREDIT INCOME FUND QP (TAX-EXEMPT), LP

Fund administrator SOCIUM FUND SERVICES LLC SHORT HILLS, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor CITRIN COOPERMAN & COMPANY, LLP NEW YORK, New York, United States

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

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

CITRIN COOPERMAN & COMPANY, LLP
PCAOB 2468

J.P. MORGAN SECURITIES LLC
SEC 8-35008

Fund details & source

Fund ID: 805-2663542465
Reported beneficial owners: 101
Minimum commitment: $250K
Form D file number: 021-1780892

Form ADV 2106328 · Jun 26, 2026 · 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.

PANTHER GROWTH FUND II, LPPrivate Equity Fund · Last reported Jun 26, 2026$214MGross asset value

Form D fundraising filings

Panther Growth Fund II, LP

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

Auditor CITRIN COOPERMAN & COMPANY, LLP NEW YORK, New York, United States

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

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

CITRIN COOPERMAN & COMPANY, LLP
PCAOB 2468

J.P. MORGAN SECURITIES LLC
SEC 8-35008

Fund details & source

Fund ID: 805-1048167165
Reported beneficial owners: 29
Minimum commitment: $1M
Form D file number: 021-516526

Form ADV 2106328 · Jun 26, 2026 · 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.

LMG PARTNERS, LPOther Private Fund · Last reported Jun 26, 2026$89.1MGross asset value

Auditor CITRIN COOPERMAN & COMPANY, LLP NEW YORK, New York, United States

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

Marketer CRESCENT SECURITIES GROUP, INC. PLANO, Texas, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: Yes

CITRIN COOPERMAN & COMPANY, LLP
PCAOB 2468

J.P. MORGAN SECURITIES LLC
SEC 8-35008

CRESCENT SECURITIES GROUP, INC.
CRD 114993 · SEC 8-53457

Fund details & source

Fund ID: 805-6412716364
Reported beneficial owners: 4
Minimum commitment: $0

Form ADV 2106328 · Jun 26, 2026 · 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.

NIAGARA CREDIT INCOME FUND AI, LPOther Private Fund · Last reported Jun 26, 2026$88.2MGross asset value

Feeder funds

NIAGARA CREDIT INCOME FUND AI (TAX-EXEMPT), LP

Fund administrator SOCIUM FUND SERVICES LLC SHORT HILLS, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor CITRIN COOPERMAN & COMPANY, LLP NEW YORK, New York, United States

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

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

CITRIN COOPERMAN & COMPANY, LLP
PCAOB 2468

J.P. MORGAN SECURITIES LLC
SEC 8-35008

Fund details & source

Fund ID: 805-4641113026
Reported beneficial owners: 49
Minimum commitment: $250K
Form D file number: 021-1780895

Form ADV 2106328 · Jun 26, 2026 · 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.

PMG LEGAL, LLCPrivate Equity Fund · Last reported Jun 26, 2026$28MGross asset value

Form D fundraising filings

PMG Legal, LLC

Fund administrator HC GLOBAL FUND SERVICES, LLC SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor CITRIN COOPERMAN & COMPANY, LLP NEW YORK, New York, United States

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

Marketer CRESCENT SECURITIES GROUP, INC. PLANO, Texas, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

CITRIN COOPERMAN & COMPANY, LLP
PCAOB 2468

J.P. MORGAN SECURITIES LLC
SEC 8-35008

CRESCENT SECURITIES GROUP, INC.
CRD 114993 · SEC 8-53457

Fund details & source

Fund ID: 805-2790005079
Reported beneficial owners: 47
Minimum commitment: $50K
Form D file number: 021-491280

Form ADV 2106328 · Jun 26, 2026 · 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.

PG FUND II SC LPPrivate Equity Fund · Last reported Jun 26, 2026$20.1MGross asset value

Form D fundraising filings

PG Fund II - SC, L.P.

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

Auditor CITRIN COOPERMAN & COMPANY, LLP NEW YORK, New York, United States

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

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

CITRIN COOPERMAN & COMPANY, LLP
PCAOB 2468

J.P. MORGAN SECURITIES LLC
SEC 8-35008

Fund details & source

Fund ID: 805-8895610316
Reported beneficial owners: 11
Minimum commitment: $1M
Form D file number: 021-535812

Form ADV 2106328 · Jun 26, 2026 · 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: Jun 26, 2026. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

250 CALIFORNIA DRIVE, SUITE 301
BURLINGAME, CA, 94010, United States

CRD 159649

Filing source

Form ADV 2106328 · Jun 26, 2026 · 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.