Investment adviser · CRD 321703

PHASE FIVE CAPITAL MANAGEMENT LLC

Exempt reporting adviser (ERA)

Exempt reporting advisers use a shorter Form ADV report. Some adviser-level figures are not reported; fund disclosures appear below when available.

NEW YORK, NY, United States · Form ADV filed Mar 23, 2023

Adviser-level assets, account counts and staffing figures are unavailable in this filing. View the reported fund disclosures below →

Private funds & service providers

2 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.

FPRELUDE STRUCTURED ALTERNATIVES MASTER FUND, LP (SUB-ACCOUNT THEREOF)Hedge Fund · Last reported Mar 23, 2023$47MGross asset value

Feeder funds

  • PRELUDE PROPRIETARY INVESTORS FUND, LP
  • PRELUDE STRUCTURED ALTERNATIVES FUND, LP
  • PRELUDE STRUCTURED ALTERNATIVES OFFSHORE, LTD
  • PRELUDE STRUCTURED ALTERNATIVES SLP LTD
Fund administrator NAV CONSULTING INC OAK BROOKS, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor EISNERAMPER, LLP NEW YORK, New York, United States
Custodian ADM INVESTOR INC CHICAGO, Illinois, United States Related to adviser: No
Custodian BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States Related to adviser: No
Custodian CITIBANK, N.A. NEW YORK, New York, United States Related to adviser: No
Custodian E D & F MAN CAPITAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No
Custodian SG AMERICAS SECURITIES, LLC NEW YORK, New York, United States Related to adviser: No
Custodian SOCIETE GENERALE INTERNATIONAL LTD LONDON, United Kingdom Related to adviser: No
Prime broker BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States
Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States
Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States
Prime broker SG AMERICAS SECURITIES, LLC 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

EISNERAMPER, LLP
PCAOB 274

BNP PARIBAS PRIME BROKERAGE, INC.
SEC 8-40490

E D & F MAN CAPITAL MARKETS INC.
SEC 8-69039

GOLDMAN SACHS & CO. LLC
SEC 8-129

J.P. MORGAN SECURITIES LLC
SEC 8-35008

MORGAN STANLEY & CO. LLC
SEC 8-15869 · LEI 8209

PERSHING LLC
SEC 8-17574

SG AMERICAS SECURITIES, LLC
SEC 8-66125

BNP PARIBAS PRIME BROKERAGE, INC.
CRD 24962 · SEC 8-40490

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

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

PERSHING LLC
CRD 7560 · SEC 8-17574

SG AMERICAS SECURITIES, LLC
CRD 128351 · SEC 8-66125

Fund details & source
Fund ID
805-2495224621
Reported beneficial owners
145
Minimum commitment
$0

Form ADV 1725924 · Mar 23, 2023 · 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.

PHASE FIVE PARTNERS, LPHedge Fund · Last reported Mar 23, 2023$14MGross asset value
Fund administrator INTERNATIONAL FUND MANAGEMENT CORP. FLEMINGTON, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor BDO USA, LLP NEW YORK, New York, United States
Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No
Prime broker GOLDMAN SACHS & CO. LLC 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

BDO USA, LLP
PCAOB 243

GOLDMAN SACHS & CO. LLC
SEC 8-129

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

Fund details & source
Fund ID
805-7012925062
Reported beneficial owners
26
Minimum commitment
$500K
Form D file number
021-1705245

Form ADV 1725924 · Mar 23, 2023 · 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 23, 2023. View historical filings

Reported services

Not reported in these imported fields

Compensation

Not reported in these imported fields

Principal office

600 3RD AVE, 10TH FL
NEW YORK, NY, 10016, United States

CRD 321703

Filing source

Form ADV 1725924 · Mar 23, 2023 · 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.