Investment adviser · CRD 139405

PLATINUM MANAGEMENT (NY) LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 30, 2016

Regulatory AUM
$1.7B
Form ADV · Item 5.F
Client accounts
14
Accounts, not individual clients
Employees
60
Reported in this filing
Advisory professionals
30
Investment advisory functions

Private funds & service providers

13 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.

PLATINUM PARTNERS VALUE ARBITRAGE FUND, L.P.Hedge Fund · Last reported Mar 30, 2016$1.08BGross asset value

Feeder funds

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor COHNREZNICK NEW YORK, New York, United States
Custodian COR CLEARING LLC OMAHA, Nebraska, United States Related to adviser: No
Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No
Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No
Custodian J.H. DARBIE & CO., INC. NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY CAPITAL SERVICES NEW YORK, New York, United States Related to adviser: No
Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No
Marketer ALPHASOURCE CAPITAL SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Marketer ALTERN INTERNATIONAL ADVISORS MONACO, Monaco Related to adviser: No
Marketer CANTONE RESEARCH INC. TINTON FALLS, New Jersey, United States Related to adviser: No
Marketer CHARDAN CAPITAL MARKETS LLC NEW YORK, New York, United States Related to adviser: No
Marketer CRESCENDO ADVISORS INTERNATIONAL LTD. ST PETER PORT, Guernsey Related to adviser: No
Marketer FINANCIAL FAIRPLAY AG ZUG, Switzerland Related to adviser: No
Marketer FINANCIAL WEST GROUP WESTLAKE VILLAGE, California, United States Related to adviser: No
Marketer GREEN HARVEST KOREA CO., LTD. SEOUL, Korea, South Related to adviser: No
Marketer MICHAEL HANONO PANAMA CITY, Panama Related to adviser: No
Marketer MONARCH BAY SECURITIES, LLC NEWPORT BEACH, California, United States Related to adviser: No
Marketer PALLADIUM CAPITAL ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No
Marketer TRIBLEY ASSET MANAGEMENT HAMILTON, Bermuda Related to adviser: No
Marketer WORLD VISION STRATEGIES LIMITED LONDON, United Kingdom Related to adviser: No
Prime broker CREDIT SUISSE SECURITIES (USA) 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
Yes

COR CLEARING LLC
SEC 8-53595

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

INTERACTIVE BROKERS LLC
SEC 8-47257

J.H. DARBIE & CO., INC.
SEC 8-50335

ALPHASOURCE CAPITAL SECURITIES LLC
CRD 145875 · SEC 8-67759

CANTONE RESEARCH INC.
CRD 26314 · SEC 8-41940

CHARDAN CAPITAL MARKETS LLC
CRD 120128 · SEC 8-65277

FINANCIAL WEST GROUP
CRD 16668 · SEC 801-57393

MONARCH BAY SECURITIES, LLC
CRD 141391 · SEC 8-67384

PALLADIUM CAPITAL ADVISORS, LLC
CRD 129400 · SEC 8-66223

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

Fund details & source
Fund ID
805-4368569263
Reported beneficial owners
365
Minimum commitment
$100K
Form D file number
021-51506
Form D file number
021-51507

Form ADV 993036 · Mar 30, 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.

PLATINUM PARTNERS CREDIT OPPORTUNITIES MASTER FUND, L.P.Hedge Fund · Last reported Mar 30, 2016$592MGross asset value

Feeder funds

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor COHNREZNICK NEW YORK, New York, United States
Custodian COR CLEARING INC OMAHA, Nebraska, United States Related to adviser: No
Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No
Custodian JH DARBIE & CO. NEW YORK, New York, United States Related to adviser: No
Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No
Marketer ALPHASOURCE CAPITAL SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Marketer ALTERN8 INVESTMENT ADVISORS LTD MONACO, Monaco Related to adviser: No
Marketer BENZION REICH JERUSALEM, Israel Related to adviser: No
Marketer CANTONE RESEARCH INC. TINTON FALLS, New Jersey, United States Related to adviser: No
Marketer CRESCENDO ADVISORS INTERNATIONAL LTD. ST PETER PORT, Guernsey Related to adviser: No
Marketer FINANCIAL FAIRPLAY AG ZUG, Switzerland Related to adviser: No
Marketer GREEN HARVEST KOREA CO., LTD. SEOUL, Korea, South Related to adviser: No
Marketer MICHAEL HANONO PANAMA CITY, Panama Related to adviser: No
Marketer MONARCH BAY SECURITIES, LLC NEWPORT BEACH, California, United States Related to adviser: No
Marketer PALLADIUM CAPITAL ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No
Marketer TRIBLEY ASSET MANAGEMENT HAMILTON, Bermuda Related to adviser: No
Marketer WORLD VISION STRATEGIES LIMITED LONDON, United Kingdom Related to adviser: No
Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States
Prime broker J.H. DARBIE & CO., 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
Yes

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

ALPHASOURCE CAPITAL SECURITIES LLC
CRD 145875 · SEC 8-67759

CANTONE RESEARCH INC.
CRD 26314 · SEC 8-41940

MONARCH BAY SECURITIES, LLC
CRD 141391 · SEC 8-67384

PALLADIUM CAPITAL ADVISORS, LLC
CRD 129400 · SEC 8-66223

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

J.H. DARBIE & CO., INC.
CRD 43520 · SEC 8-50335

Fund details & source
Fund ID
805-2904035132
Reported beneficial owners
251
Minimum commitment
$100K
Form D file number
021-128640
Form D file number
021-128642

Form ADV 993036 · Mar 30, 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.

PLATINUM PARTNERS LIQUID OPPORTUNITY MASTER FUND L.P.Hedge Fund · Last reported Mar 30, 2016$27.4MGross asset value

Feeder funds

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor COHNREZNICK NEW YORK, New York, United States
Custodian COR CLEARING LLC OMAHA, Nebraska, United States Related to adviser: No
Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No
Custodian INTERACTIVE BROKERS LLC GEENWICH, Connecticut, United States Related to adviser: No
Custodian J.H. DARBIE & CO., INC. NEW YORK, New York, United States Related to adviser: No
Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No
Marketer ALPHASOURCE CAPITAL SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Marketer ALTERN INTERNATIONAL ADVISORS MONACO, Monaco Related to adviser: No
Marketer CANTONE RESEARCH INC. TINTON FALLS, New Jersey, United States Related to adviser: No
Marketer CRESCENDO ADVISORS INTERNATIONAL LTD. ST PETER PORT, Guernsey Related to adviser: No
Marketer FINANCIAL FAIRPLAY AG ZUG, Switzerland Related to adviser: No
Marketer GREEN HARVEST KOREA CO., LTD. SEOUL, Korea, South Related to adviser: No
Marketer MONARCH BAY SECURITIES, LLC NEWPORT BEACH, California, United States Related to adviser: No
Marketer PALLADIUM CAPITAL ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No
Marketer TRIBLEY ASSET MANAGEMENT HAMILTON, Bermuda Related to adviser: No
Marketer WORLD VISION STRATEGIES LIMITED LONDON, United Kingdom Related to adviser: No
Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States
Prime broker NOMURA SECURITIES INTERNATIONAL, 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
Yes

COR CLEARING LLC
SEC 8-53595

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

INTERACTIVE BROKERS LLC
SEC 8-47257

J.H. DARBIE & CO., INC.
SEC 8-50335

ALPHASOURCE CAPITAL SECURITIES LLC
CRD 145875 · SEC 8-67759

CANTONE RESEARCH INC.
CRD 26314 · SEC 8-41940

MONARCH BAY SECURITIES, LLC
CRD 141391 · SEC 8-67384

PALLADIUM CAPITAL ADVISORS, LLC
CRD 129400 · SEC 8-66223

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

NOMURA SECURITIES INTERNATIONAL, INC.
CRD 4297 · SEC 8-15255

Fund details & source
Fund ID
805-5213677241
Reported beneficial owners
20
Minimum commitment
$100K
Form D file number
021-132230
Form D file number
021-132232

Form ADV 993036 · Mar 30, 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.

PLATINUM PARTNERS BLACK ELK OPPORTUNITIES FUND LLCHedge Fund · Last reported Jan 26, 2015$46MGross asset value
Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor COHNREZNICK NEW YORK, New York, United States
Marketer PALLADIUM CAPITAL ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
No
Administrator other than the adviser
Yes
External marketing
Yes

PALLADIUM CAPITAL ADVISORS, LLC
CRD 129400 · SEC 8-66223

Fund details & source
Fund ID
805-8652148066
Reported beneficial owners
37
Minimum commitment
$1M

Form ADV 870131 · Jan 26, 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.

BAYBERRY CONSUMER FINANCE FUND LLCHedge Fund · Last reported Mar 31, 2015$37.7MGross asset value

Form D fundraising filings

Bayberry Consumer Finance Fund LLC

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor COHNREZNICK NEW YORK, New York, United States
Custodian CAPITAL ONE BROOKLYN, New York, United States Related to adviser: No
Marketer BENZION REICH JERUSALEM, Israel Related to adviser: No
Marketer CANTONE RESEARCH INC. TINTON FALLS, New Jersey, United States Related to adviser: No
Marketer CHARDAN CAPITAL MARKETS LLC NEW YORK, New York, United States Related to adviser: No
Marketer CRESCENDO ADVISORS INTERNATIONAL LTD. ST PETER PORT, Guernsey Related to adviser: No
Marketer PALLADIUM CAPITAL ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No
Marketer PALLADIUM CAPITAL ADVISORS, LLC 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
Yes

CANTONE RESEARCH INC.
CRD 26314 · SEC 8-41940

CHARDAN CAPITAL MARKETS LLC
CRD 120128 · SEC 8-65277

PALLADIUM CAPITAL ADVISORS, LLC
CRD 129400 · SEC 8-66223

PALLADIUM CAPITAL ADVISORS, LLC
CRD 129400 · SEC 8-66223

Fund details & source
Fund ID
805-3610455101
Reported beneficial owners
83
Minimum commitment
$100K
Form D file number
021-156869

Form ADV 893733 · Mar 31, 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.

MARBRIDGE ENERGY FINANCE FUND II LLCPrivate Equity Fund · Last reported Mar 31, 2015$27MGross asset value
Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor COHNREZNICK LLP NEW YORK, New York, United States
Custodian CAPITAL ONE BROOKLYN, 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
Fund details & source
Fund ID
805-9919508740
Reported beneficial owners
43
Minimum commitment
$100K

Form ADV 893733 · Mar 31, 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.

BAYBERRY CONSUMER FINANCE FUND INTERNATIONAL LTD.Hedge Fund · Last reported Mar 31, 2015$22.7MGross asset value
Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor COHNREZNICK NEW YORK, New York, United States
Custodian CAPITAL ONE BROOKLYN, New York, United States Related to adviser: No
Marketer BENZION REICH JERUSALEM, Israel Related to adviser: No
Marketer CANTONE RESEARCH INC. TINTON FALLS, New Jersey, United States Related to adviser: No
Marketer CRESCENDO ADVISORS INTERNATIONAL LTD. ST PETER PORT, Guernsey Related to adviser: No
Marketer PALLADIUM CAPITAL ADVISORS, LLC 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
Yes

CANTONE RESEARCH INC.
CRD 26314 · SEC 8-41940

PALLADIUM CAPITAL ADVISORS, LLC
CRD 129400 · SEC 8-66223

Fund details & source
Fund ID
805-2205748404
Reported beneficial owners
13
Minimum commitment
$100K

Form ADV 893733 · Mar 31, 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: Mar 30, 2016. View historical filings

Reported services

Pooled investment vehicle management · Selection of other advisers

Compensation

Percentage of assets

Principal office

250 WEST 55TH STREET, 14TH FL
NEW YORK, NY, 10019-7599, United States

CRD 139405

Filing source

Form ADV 993036 · Mar 30, 2016 · 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.