NUMINA CAPITAL MANAGEMENT, LLC – investment adviser, $1.04B regulatory AUM (Form ADV)

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	11	$878,375,369	84.4%
Retirement plans	Fewer than 5	$162,749,292	15.6%

Filing source

Form ADV 1169219 · Mar 29, 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

3 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.

NUMINA CAPITAL ENHANCED MASTER FUND, LTD.Hedge Fund · Last reported Mar 29, 2018$234MGross asset value

Feeder funds

NUMINA CAPITAL ENHANCED FUND, LP
NUMINA CAPITAL ENHANCED OFFSHORE FUND, LTD
NUMINA CAPITAL ENHANCED OFFSHORE INTERMEDIATE FUND, LP

Fund administrator U.S. BANCORP FUND SERVICES, LTD HACKENSACK, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP SHORT HILLS, New Jersey, United States

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Custodian U.S. BANK, N.A. MINNEAPOLIS, Minnesota, United States Related to adviser: No

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. 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

KPMG, LLP
PCAOB 185

GOLDMAN SACHS & CO. LLC
SEC 8-129

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Fund details & source

Fund ID: 805-1124765286
Reported beneficial owners: 16
Minimum commitment: $5M
Form D file number: 021-278522

Form ADV 1169219 · Mar 29, 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.

NUMINA CAPITAL MASTER FUND, LTD.Hedge Fund · Last reported Mar 29, 2018$116MGross asset value

Feeder funds

NUMINA CAPITAL FUND, L.P.
NUMINA CAPITAL OFFSHORE FUND, LTD
NUMINA CAPITAL OFFSHORE INTERMEDIATE FUND, LP

Fund administrator U.S. BANCORP FUND SERVICES, LTD HACKENSACK, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP SHORT HILLS, New Jersey, United States

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Custodian U.S. BANK, N.A. MINNEAPOLIS, Minnesota, United States Related to adviser: No

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. 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

KPMG, LLP
PCAOB 185

GOLDMAN SACHS & CO. LLC
SEC 8-129

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Fund details & source

Fund ID: 805-3301754498
Reported beneficial owners: 15
Minimum commitment: $2.5M
Form D file number: 021-278525

Form ADV 1169219 · Mar 29, 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.

NUMINA CAPITAL FUND, L.P.Hedge Fund · Last reported Sep 23, 2014$61.8MGross asset value

Form D fundraising filings

Numina Capital Fund, L.P.

Fund administrator U.S. BANCORP FUND SERVICES, LLC HACKENSACK, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP ROSELAND, New Jersey, United States

Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No

Custodian JP MORGAN CHASE BANK, N.A. SAN ANTONIO, Texas, United States Related to adviser: No

Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States

Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. 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

GOLDMAN, SACHS & CO.
SEC 8-129

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Fund details & source

Fund ID: 805-1692230062
Reported beneficial owners: 20
Minimum commitment: $500K
Form D file number: 021-190311

Form ADV 845940 · Sep 23, 2014 · 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, 2018. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

2 WEST 45TH STREET, SUITE 1501
NEW YORK, NY, 10036, United States

CRD 169973

Filing source

Form ADV 1169219 · Mar 29, 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.