Investment adviser · CRD 139223

NORTHLIGHT FINANCIAL LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Feb 14, 2018

Regulatory AUM
$88.7M
Form ADV · Item 5.F
Client accounts
3
Accounts, not individual clients
Employees
5
Reported in this filing
Advisory professionals
5
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 vehicles3$88,739,841100.0%
Other investment advisersFewer than 5$00.0%
Filing source

Form ADV 1171081 · Feb 14, 2018 · 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

5 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.

SOUTHLIGHT A LPPrivate Equity Fund · Last reported Feb 14, 2018$9.52MGross asset value
Auditor DWORKEN, HILLMAN, LAMORTE & STERCZALA P.C. GEORGE TOWN, Cayman Islands
Custodian REGIONS BANK MIAMI, Florida, United States Related to adviser: No
Custodian UBS FINANCIAL SERVICES NEW YORK, New York, United States Related to adviser: No
Prime broker CANTOR FITZGERALD & CO. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

DWORKEN, HILLMAN, LAMORTE & STERCZALA P.C.
PCAOB 307

CANTOR FITZGERALD & CO.
CRD 134 · SEC 8-201

Fund details & source
Fund ID
805-3807312443
Reported beneficial owners
1
Minimum commitment
$0

Form ADV 1171081 · Feb 14, 2018 · 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.

NORTHLIGHT FUND LPHedge Fund · Last reported Feb 14, 2018$2.44MGross asset value
Fund administrator ACHIN, BLOCK & ACHIN LLP NEW YORK, New York, United States Investor statements: No (provided to no investors) Related to adviser: No
Auditor DWORKEN, HILLMAN, LAMORTE & STERCZALA P.C. NEW YORK, New York, United States
Custodian SIGNATURE BANK NEW YORK, New York, United States Related to adviser: No
Custodian UBS FINANCIAL SERVICES INC. NEW YORK, New York, United States Related to adviser: No
Prime broker UBS FINANCIAL SERVICES INC. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

DWORKEN, HILLMAN, LAMORTE & STERCZALA P.C.
PCAOB 307

UBS FINANCIAL SERVICES INC.
SEC 8-16267

UBS FINANCIAL SERVICES INC.
CRD 8174 · SEC 8-16267

Fund details & source
Fund ID
805-2902304167
Reported beneficial owners
5
Minimum commitment
$500K
Form D file number
021-129742

Form ADV 1171081 · Feb 14, 2018 · 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.

PDS LENDCO LPPrivate Equity Fund · Last reported Sep 21, 2016$150MGross asset value
Auditor KPMG CAYMAN GEORGE TOWN, Cayman Islands
Custodian REGIONS BANK MIAMI, Florida, 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
Fund details & source
Fund ID
805-4794798373
Reported beneficial owners
1
Minimum commitment
$0

Form ADV 1041580 · Sep 21, 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.

NORTHLIGHT LPPrivate Equity Fund · Last reported Mar 25, 2015$112MGross asset value
Auditor KPMG LLP ROSELAND, New Jersey, United States
Custodian REGIONS BANK MIAMI, Florida, 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
Fund details & source
Fund ID
805-1166928954
Reported beneficial owners
1
Minimum commitment
$0

Form ADV 894730 · Mar 25, 2015 · 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.

NORTHLIGHT FOOD FRANCHISE FUND LPPrivate Equity Fund · Last reported Mar 25, 2015$35.5MGross asset value
Auditor KPMG LLP ROSELAND, New Jersey, United States
Custodian SIGNATURE BANK NEW YORK, New York, United States Related to adviser: No
Custodian US BANK NEW YORK, New York, United States Related to adviser: No
Custodian WELLS FARGO 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
Fund details & source
Fund ID
805-2210207579
Reported beneficial owners
1
Minimum commitment
$0

Form ADV 894730 · Mar 25, 2015 · 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: Feb 14, 2018. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

ONE GRAND CENTRAL PLACE, 60 EAST 42ND ST., SUITE 2800
NEW YORK, NY, 10165, United States

CRD 139223

Filing source

Form ADV 1171081 · Feb 14, 2018 · 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.