Investment adviser · CRD 135902

MARSHALL WACE NORTH AMERICA L.P.

NEW YORK, NY, United States · Form ADV filed Feb 3, 2022

Regulatory AUM
$26.7B
Form ADV · Item 5.F
Client accounts
25
Accounts, not individual clients
Employees
80
Reported in this filing
Advisory professionals
55
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
Pooled investment vehicles25$26,675,055,124100.0%
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

25 detailed 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.

MARSHALL WACE COMMON CONTRACTUAL FUND - MWCCF AMERICAS TOPS LONG-ONLY FUNDHedge Fund · Master$2.26BGross asset value
Search Form D filings →
Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor ERNST & YOUNG DUBLIN, Ireland Other funds reporting this name →
Custodian CITCO BANK NEDERLAND N.V. DUBLIN BRANCH DUBLIN, Ireland Related to adviser: No Other funds reporting this name →
Custodian THE BANK OF NEW YORK MELLON TRUST SA/NV, DUBLIN BRANCH DUBLIN, Ireland 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 1411

KKR CAPITAL MARKETS LLC
CRD 143571 · SEC 8-67578

Fund details & source
Fund ID
805-7735899267
Reported beneficial owners
1
Minimum commitment
$118K

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.

MARSHALL WACE INVESTMENT STRATEGIES - TOPS US EQUITIES FUNDHedge Fund · Master$2.26BGross asset value
Search Form D filings →
Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor ERNST & YOUNG DUBLIN, Ireland Other funds reporting this name →
Custodian CITCO BANK NEDERLAND N.V. DUBLIN BRANCH DUBLIN, Ireland Related to adviser: No Other funds reporting this name →
Custodian THE BANK OF NEW YORK MELLON TRUST SA/NV, DUBLIN BRANCH DUBLIN, Ireland 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 1411

KKR CAPITAL MARKETS LLC
CRD 143571 · SEC 8-67578

Fund details & source
Fund ID
805-8772732484
Reported beneficial owners
2
Minimum commitment
$118K

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.

MARSHALL WACE EUUT - MWEUUT AMERICAS TOPS LONG-ONLY FUNDHedge Fund · Feeder$2.14BGross asset value
Search Form D filings →
Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor ERNST & YOUNG DUBLIN, Ireland Other funds reporting this name →
Custodian CITCO BANK NEDERLAND N.V. DUBLIN BRANCH DUBLIN, Ireland Related to adviser: No Other funds reporting this name →
Custodian THE BANK OF NEW YORK MELLON TRUST SA/NV, DUBLIN BRANCH DUBLIN, Ireland 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 →
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

ERNST & YOUNG
PCAOB 1411

KKR CAPITAL MARKETS LLC
CRD 143571 · SEC 8-67578

Fund details & source
Fund ID
805-6623029989
Reported beneficial owners
1
Minimum commitment
$118K

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.

MARSHALL WACE FUNDS LP - MW TOPS US EQUITIES (US) FUNDHedge Fund · Feeder$1.47BGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Fund administrator CITCO FUND SERVICES (USA) INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor ERNST & YOUNG DUBLIN, Ireland Other funds reporting this name →
Custodian CITCO BANK NEDERLAND N.V. DUBLIN BRANCH DUBLIN, Ireland 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 →
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

ERNST & YOUNG
PCAOB 1411

KKR CAPITAL MARKETS LLC
CRD 143571 · SEC 8-67578

Fund details & source
Fund ID
805-4638665579
Reported beneficial owners
2
Minimum commitment
$500M
Form D file number
021-327568

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.

MARSHALL WACE INVESTMENT STRATEGIES - NORTH AMERICA TOPS 150/50 FUNDHedge Fund · Master$1.18BGross asset value
Search Form D filings →
Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor ERNST & YOUNG DUBLIN, Ireland Other funds reporting this name →
Custodian CITCO BANK NEDERLAND N.V. DUBLIN BRANCH DUBLIN, Ireland Related to adviser: No Other funds reporting this name →
Custodian THE BANK OF NEW YORK MELLON TRUST SA/NV, DUBLIN BRANCH DUBLIN, Ireland 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 1411

KKR CAPITAL MARKETS LLC
CRD 143571 · SEC 8-67578

Fund details & source
Fund ID
805-8590718709
Reported beneficial owners
2
Minimum commitment
$118K

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.

MW AMERICAS TOPS LONG-ONLY FUND LPHedge Fund$1.11BGross asset value
Search Form D filings →
Fund administrator THE BANK OF NEW YORK MELLON, ALTERNATIVE INVESTMENT SERVICES DIVISION WILMINGTON, Delaware, 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 THE BANK OF NEW YORK MELLON NEW YORK, New York, United States 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 →
Provider details
Annual audit
Yes
Prime brokers
No
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
805-4400927970
Reported beneficial owners
6
Minimum commitment
$10M

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.

MARSHALL WACE INVESTMENT STRATEGIES - AMERICAS TOPS LONG-ONLY FUND IIHedge Fund · Master$968MGross asset value
Search Form D filings →
Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor ERNST & YOUNG DUBLIN, Ireland Other funds reporting this name →
Custodian CITCO BANK NEDERLAND N.V. DUBLIN BRANCH DUBLIN, Ireland Related to adviser: No Other funds reporting this name →
Custodian THE BANK OF NEW YORK MELLON TRUST SA/NV, DUBLIN BRANCH DUBLIN, Ireland 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 1411

KKR CAPITAL MARKETS LLC
CRD 143571 · SEC 8-67578

Fund details & source
Fund ID
805-4633620537
Reported beneficial owners
6
Minimum commitment
$118K

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

Showing values from the selected filing. Latest observed filing does not establish current registration status.

What changed?

No comparable changes in the displayed metrics.

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.