Investment adviser · CRD 160147

NORTHERN FUND MANAGEMENT AMERICA LLC

Investment adviser filing (IA)

STAMFORD, CT, United States · Form ADV filed Mar 29, 2019

Regulatory AUM
$728M
Form ADV · Item 5.F
Client accounts
6
Accounts, not individual clients
Employees
17
Reported in this filing
Advisory professionals
10
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 vehicles6$727,950,017100.0%
Filing source

Form ADV 1305493 · Mar 29, 2019 · 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

10 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.

NORTHERN SHIPPING FUND III LPPrivate Equity Fund · Last reported Mar 29, 2019$502MGross asset value
Fund administrator SS&C TECHNOLOGY HOLDING, INC. EDINA, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM US LLP STAMFORD, Connecticut, United States
Custodian DNB BANK ASA, NEW YORK BRANCH NEW YORK, New York, United States Related to adviser: No
Custodian FIRST REPUBLIC BANK, N.A. NEW YORK, New York, United States Related to adviser: No
Custodian SIGNATURE BANK, N.A. NEW YORK, New York, United States Related to adviser: No
Custodian SS&C TECHNOLOGY HOLDING, INC. EDINA, Minnesota, United States Related to adviser: No
Custodian WELLS FARGO BANK N.A. COLUMBIA, Maryland, 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

RSM US LLP
PCAOB 49

Fund details & source
Fund ID
805-2057221026
Reported beneficial owners
50
Minimum commitment
$5M
Form D file number
021-248776

Form ADV 1305493 · Mar 29, 2019 · 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.

NORTHERN SHIPPING FUND II LLCPrivate Equity Fund · Last reported Mar 29, 2019$69.2MGross asset value
Auditor RSM US LLP STAMFORD, Connecticut, United States
Custodian CIT BANK N.A. NEW YORK, New York, United States Related to adviser: No
Custodian DNB BANK ASA, GRAND CAYMAN BRANCH GRAND CAYMAN, Cayman Islands Related to adviser: No
Custodian NORDDEUTSCHE LANDESBANK GIROZENTRALE, SINGAPORE BRANCH SINGAPORE, Singapore Related to adviser: No
Custodian SIGNATURE BANK, N.A. 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
No
External marketing
No

RSM US LLP
PCAOB 49

Fund details & source
Fund ID
805-5940998155
Reported beneficial owners
17
Minimum commitment
$0
Form D file number
021-181888

Form ADV 1305493 · Mar 29, 2019 · 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.

NORTHERN SHIPPING MASTER FUND III LPPrivate Equity Fund · Last reported Mar 29, 2019$54.9MGross asset value

Feeder funds

  • NORTHERN SHIPPING INTERNATIONAL FUND III LP
Fund administrator SS&C TECHNOLOGY HOLDING, INC. EDINA, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM US LLP STAMFORD, Connecticut, United States
Custodian DNB BANK ASA, GRAND CAYMAN BRANCH NEW YORK, New York, United States Related to adviser: No
Custodian FIRST REPUBLIC BANK, N.A. NEW YORK, New York, United States Related to adviser: No
Custodian SIGNATURE BANK, N.A. NEW YORK, New York, United States Related to adviser: No
Custodian SS&C TECHNOLOGY HOLDING, INC. EDINA, Minnesota, United States Related to adviser: No
Custodian WELLS FARGO BANK N.A. COLUMBIA, Maryland, 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

RSM US LLP
PCAOB 49

Fund details & source
Fund ID
805-5016399080
Reported beneficial owners
2
Minimum commitment
$5M

Form ADV 1305493 · Mar 29, 2019 · 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.

NORTHERN CHASSERAL LLCPrivate Equity Fund · Last reported Mar 29, 2019$46.9MGross asset value
Auditor RSM US LLP STAMFORD, Connecticut, United States
Custodian DNB BANK ASA, GRAND CAYMAN BRANCH GRAND CAYMAN, Bahamas, The Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

RSM US LLP
PCAOB 49

Fund details & source
Fund ID
805-8161469412
Reported beneficial owners
10
Minimum commitment
$0

Form ADV 1305493 · Mar 29, 2019 · 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.

NORTHERN SHIPPING FUND IV LPPrivate Equity Fund · Last reported Mar 29, 2019$0Gross asset value
Fund administrator BROADSCOPE FUND ADMINISTRATORS LLC PARAMUS, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM US LLP STAMFORD, Connecticut, United States
Custodian BROADSCOPE FUND ADMINISTRATORS LLC PARAMUS, New Jersey, United States Related to adviser: No
Custodian CITIBANK, N.A. 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

RSM US LLP
PCAOB 49

Fund details & source
Fund ID
805-4600271723
Reported beneficial owners
1
Minimum commitment
$5M
Form D file number
021-332917

Form ADV 1305493 · Mar 29, 2019 · 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.

MR HOLDING I LLCPrivate Equity Fund · Last reported Apr 19, 2016$31.2MGross asset value
Auditor DELOITTE, HADIJPAVLOU, SOFIANOS & CAMBANIS S.A. ATHENS, Greece
Custodian DNB BANK ASA, GRAND CAYMAN BRANCH GRAND CAYMAN, Cayman Islands Related to adviser: No
Custodian NIBC BANK N.V. THE HAGUE, Netherlands Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No
Fund details & source
Fund ID
805-7051865782
Reported beneficial owners
7
Minimum commitment
$0

Form ADV 1011738 · Apr 19, 2016 · 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.

SISTERS MARITIME LLCPrivate Equity Fund · Last reported Feb 2, 2016$27.4MGross asset value
Auditor DELOITTE, HADIJPAVLOU, SOFIANOS & CAMBANIS S.A. ATHENS, Greece
Custodian DNB BANK ASA, GRAND CAYMAN BRANCH GRAND CAYMAN, Cayman Islands Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No
Fund details & source
Fund ID
805-6787394933
Reported beneficial owners
12
Minimum commitment
$0

Form ADV 973884 · Feb 2, 2016 · 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 29, 2019. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

100 FIRST STAMFORD PLACE, 6TH FLOOR
STAMFORD, CT, 06902-6740, United States

CRD 160147

Filing source

Form ADV 1305493 · Mar 29, 2019 · 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.