MARSHALL WACE NORTH AMERICA L.P.: Investment Adviser Form ADV Filing

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	25	$26,675,055,124	100.0%

Filing source

Form ADV 1599163 · Feb 3, 2022 · Item 5.D

Reported by MARSHALL WACE NORTH AMERICA L.P. (CRD 135902).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Private funds & service providers

1 selected fund records

Largest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.

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MW AMERICAS TOPS LONG-ONLY FUND IV LPHedge Fund$600MGross asset value

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Fund administrator CITCO FUND SERVICES (USA) INC JERSEY CITY, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Auditor ERNST & YOUNG NEW YORK, New York, United States Other funds reporting this name →

Custodian CITCO FUND SERVICES (USA) INC. JERSEY CITY, New Jersey, United States Related to adviser: No Other funds reporting this name →

Custodian CITIGROUP GLOBAL MARKETS INC. LONDON, United Kingdom Related to adviser: No Other funds reporting this name →

Marketer KKR CAPITAL MARKETS LIMITED NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Marketer KKR CAPITAL MARKETS LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.

Provider details

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

ERNST & YOUNG
PCAOB 42

KKR CAPITAL MARKETS LLC
CRD 143571 · SEC 8-67578

Fund details & source

Fund ID: 805-3028935381
Reported beneficial owners: 2
Minimum commitment: $600M

Form ADV 1599163 · Feb 3, 2022 · Schedule D 7.B.(1)

Reported by MARSHALL WACE NORTH AMERICA L.P. (CRD 135902).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Services & filing details

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Filing source

Form ADV 1599163 · Feb 3, 2022 · Items 1 & 5

Reported by MARSHALL WACE NORTH AMERICA L.P. (CRD 135902).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Management of assets

Discretionary: $26.7B
Non-discretionary: $0

Filing history · 0 annual filings

Adviser-level financial and staffing figures are unavailable in these annual filings. Select a filing to view its reported funds and providers.

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

350 PARK AVENUE, 18TH FLOOR
NEW YORK, NY, 10022, United States

CRD 135902

Filing source

Form ADV 1599163 · Feb 3, 2022 · Items 1 & 5

Reported by MARSHALL WACE NORTH AMERICA L.P. (CRD 135902).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.