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 FUNDS LP - MW NORTH AMERICA TOPS 150/50 (US) FUNDHedge Fund · Feeder$737MGross asset value
Search Form D filings →
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
805-2941378023
Reported beneficial owners
2
Minimum commitment
$300M

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 MOONTOWER (US) FUNDHedge Fund$705MGross asset value
Search Form D filings →
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 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

KKR CAPITAL MARKETS LLC
CRD 143571 · SEC 8-67578

Fund details & source
Fund ID
805-7288759385
Reported beneficial owners
2
Minimum commitment
$5M

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 IV LPHedge Fund$600MGross asset value
Search Form D filings →
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.

MARSHALL WACE INVESTMENT STRATEGIES - JAPAN MARKET NEUTRAL PLUS FUNDHedge Fund · Master$557MGross 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: Yes 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
805-4273127764
Reported beneficial owners
4
Minimum commitment
$110K

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 AMERICAS TOPS LONG - ONLY (US) FUND IIIHedge Fund · Feeder$507MGross asset value
Search Form D filings →
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 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

KKR CAPITAL MARKETS LLC
CRD 143571 · SEC 8-67578

Fund details & source
Fund ID
805-6643894853
Reported beneficial owners
2
Minimum commitment
$50M

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 AMERICAS TOPS LONG-ONLY (US) FUND IIHedge Fund · Feeder$364MGross asset value
Search Form D filings →
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
805-2905981158
Reported beneficial owners
3
Minimum commitment
$50M

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 - JAPAN MARKET NEUTRAL FUNDHedge Fund · Master$343MGross 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 ANZ, LONDON BRANCH LONDON, United Kingdom Related to adviser: No Other funds reporting this name →
Custodian BNP PARIBAS, DUBLIN DUBLIN, Ireland Related to adviser: No Other funds reporting this name →
Custodian BNY MELLON TRUST COMPANY (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No Other funds reporting this name →
Custodian CITCO BANK NEDERLAND N.V. DUBLIN BRANCH DUBLIN, Ireland 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

Fund details & source
Fund ID
805-8728738677
Reported beneficial owners
24
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.