Investment adviser · CRD 147911

PRISM FUNDS, LLC

Investment adviser filing (IA)

NEWTOWN, PA, United States · Form ADV filed Mar 5, 2020

Regulatory AUM
$26.7M
Form ADV · Item 5.F
Client accounts
1
Accounts, not individual clients
Employees
1
Reported in this filing
Advisory professionals
1
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 vehicles1$26,674,198100.0%
Filing source

Form ADV 1381595 · Mar 5, 2020 · 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

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.

PRISM JADE FUND LPHedge Fund · Last reported Mar 5, 2020$26.7MGross asset value
Fund administrator ASPEN PARTNERS, LTD. ATLANTA, Georgia, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor WILLIAMS, BENATOR & LIBBY LLP ATLANTA, Georgia, United States
Custodian BANK OF AMERICA CHARLOTTE, North Carolina, United States Related to adviser: No
Custodian CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, 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

WILLIAMS, BENATOR & LIBBY LLP
PCAOB 597

Fund details & source
Fund ID
805-8435927445
Reported beneficial owners
39
Minimum commitment
$1M
Form D file number
021-165460

Form ADV 1381595 · Mar 5, 2020 · 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.

PRISM AMBER FUND LPHedge Fund · Last reported Mar 28, 2019$18.5MGross asset value

Form D fundraising filings

Prism Amber Fund, LP

Fund administrator ASPEN PARTNERS, LTD. ATLANTA, Georgia, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor WILLIAMS, BENATOR & LIBBY LLP ATLANTA, Georgia, United States
Custodian BANK OF AMERICA PHOENIX, Arizona, United States Related to adviser: No
Custodian CHARLES SCHWAB & CO., INC. PHOENIX, Arizona, United States Related to adviser: No
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CHARLOTTE, North Carolina, 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

WILLIAMS, BENATOR & LIBBY LLP
PCAOB 597

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

Fund details & source
Fund ID
805-7800540890
Reported beneficial owners
37
Minimum commitment
$1M
Form D file number
021-165458

Form ADV 1262477 · Mar 28, 2019 · 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 5, 2020. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

4 CAUFIELD PLACE, SUITE 102
NEWTOWN, PA, 18940, United States

CRD 147911

Filing source

Form ADV 1381595 · Mar 5, 2020 · 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.