Investment adviser · CRD 151321

POINT LOBOS CAPITAL, LLC

Investment adviser filing (IA)

SAN FRANCISCO, CA, United States · Form ADV filed Mar 27, 2013

Regulatory AUM
$580M
Form ADV · Item 5.F
Client accounts
7
Accounts, not individual clients
Employees
9
Reported in this filing
Advisory professionals
5
Investment advisory functions

Private funds & service providers

6 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.

POINT LOBOS MASTER FUND, L.P.Hedge Fund · Last reported Mar 27, 2013$493MGross asset value

Feeder funds

Fund administrator STONE COAST FUND SERVICES LLC PORTLAND, Maine, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LTD GRAND CAYMAN, Cayman Islands
Custodian GOLDMAN, SACHS & CO. 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 NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No
Custodian STATE STREET CORPORATION BOSTON, Massachusetts, United States Related to adviser: No
Custodian UBS AG LONDON, United Kingdom Related to adviser: No
Custodian UBS SECURITIES LLC STAMFORD, Connecticut, United States Related to adviser: No
Prime broker GOLDMAN, SACHS & CO. SAN FRANCISCO, California, United States
Prime broker MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States
Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States
Prime broker UBS SECURITIES LLC SAN FRANCISCO, California, 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

MORGAN STANLEY & CO. LLC
SEC 8-15869

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

UBS SECURITIES LLC
SEC 8-22651

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

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

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source
Fund ID
805-6743039308
Reported beneficial owners
3
Minimum commitment
$1M

Form ADV 718141 · Mar 27, 2013 · 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.

PRIVATE FUND A (POINT LOBOS CLASS)Hedge Fund · Last reported Mar 27, 2013$77.1MGross asset value
Fund administrator HEDGESERV LIMITED DUBLIN, Ireland Investor statements: No (provided to no investors) Related to adviser: No
Auditor KPMG LLP GREENSBORO, North Carolina, United States
Custodian GOLDMAN, SACHS & CO. 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 NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No
Custodian UBS AG LONDON, United Kingdom Related to adviser: No
Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States
Prime broker UBS 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

GOLDMAN, SACHS & CO.
SEC 8-129

MORGAN STANLEY & CO. LLC
SEC 8-15869

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

UBS SECURITIES LLC
SEC 8-22651

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

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

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source
Fund ID
805-4146376573
Reported beneficial owners
4
Minimum commitment
$1

Form ADV 718141 · Mar 27, 2013 · 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.

POINT LOBOS SPECIAL OPPORTUNITIES, LLCHedge Fund · Last reported Mar 27, 2013$9.9MGross asset value

Form D fundraising filings

Point Lobos Special Opportunities, LLC

Fund administrator STONE COAST FUND SERVICES LLC PORTLAND, Maine, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LLP SAN FRANCISCO, California, United States
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Prime broker MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

MORGAN STANLEY & CO. LLC
SEC 8-15869

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

Fund details & source
Fund ID
805-7470700688
Reported beneficial owners
5
Minimum commitment
$50K
Form D file number
021-148571

Form ADV 718141 · Mar 27, 2013 · 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.

POINT LOBOS SPECIAL OPPORTUNITIES III, LLCHedge Fund · Last reported Mar 27, 2013$35KGross asset value

Form D fundraising filings

Point Lobos Special Opportunities IlI, LLC

Fund administrator STONE COAST FUND SERVICES LLC PORTLAND, Maine, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LLP SAN FRANCISCO, California, United States
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Prime broker MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

MORGAN STANLEY & CO. LLC
SEC 8-15869

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

Fund details & source
Fund ID
805-6048782926
Reported beneficial owners
8
Minimum commitment
$80K
Form D file number
021-151188

Form ADV 718141 · Mar 27, 2013 · 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.

POINT LOBOS SPECIAL OPPORTUNITIES II, LLCHedge Fund · Last reported Mar 27, 2013$12.5KGross asset value

Form D fundraising filings

Point Lobos Special Opportunities II, LLC

Fund administrator STONE COAST FUND SERVICES LLC PORTLAND, Maine, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Prime broker MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
No
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

MORGAN STANLEY & CO. LLC
SEC 8-15869

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

Fund details & source
Fund ID
805-2381782436
Reported beneficial owners
3
Minimum commitment
$60K
Form D file number
021-150470

Form ADV 718141 · Mar 27, 2013 · 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.

PRIVATE FUND AHedge Fund · Last reported Sep 28, 2012$1.12BGross asset value
Fund administrator HEDGESERV LIMITED DUBLIN, Ireland Investor statements: No (provided to no investors) Related to adviser: No
Auditor KPMG LLP GREENSBORO, North Carolina, United States
Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN, SACHS & CO. 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 NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No
Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States
Prime broker UBS 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

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

GOLDMAN, SACHS & CO.
SEC 8-129

MORGAN STANLEY & CO. LLC
SEC 8-15869

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

UBS SECURITIES LLC
SEC 8-22651

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

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

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

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source
Fund ID
805-1946420800
Reported beneficial owners
4
Minimum commitment
$1

Form ADV 672106 · Sep 28, 2012 · 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 27, 2013. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

456 MONTGOMERY STREET, 22ND FLOOR
SAN FRANCISCO, CA, 94104, United States

CRD 151321

Filing source

Form ADV 718141 · Mar 27, 2013 · 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.