Investment adviser · CRD 134556

PROPHECY ASSET MANAGEMENT LP

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Dec 18, 2020

Regulatory AUM: $562M
Client accounts: 3
Employees: 7
Advisory professionals: 2

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	3	$561,930,776	100.0%

Filing source

Form ADV 1475712 · Dec 18, 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

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.

PROPHECY TRADING ADVISERS MASTER LPHedge Fund · Last reported Dec 18, 2020$310MGross asset value

Feeder funds

Fund administrator MUFG FUND SERVICES LIMITED HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP NEW YORK, New York, United States

Custodian BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States Related to adviser: No

Custodian FIRST REPUBLIC BANK NEW YORK, New York, United States Related to adviser: No

Custodian GOLDMAN SACHS EXECUTION & CLEARING, L.P. NEW YORK, New York, United States Related to adviser: No

Custodian INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC NEW YORK, New York, United States Related to adviser: No

Prime broker BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States

Prime broker GOLDMAN SACHS EXECUTION & CLEARING, L.P. NEW YORK, New York, United States

Prime broker INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC NEW YORK, New York, United States

Prime broker WPS PRIME SERVICES, LLC GREENWICH, Connecticut, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE LLP
PCAOB 34

BNP PARIBAS PRIME BROKERAGE, INC.
SEC 8-40490

GOLDMAN SACHS EXECUTION & CLEARING, L.P.
SEC 8-526

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
SEC 8-66471

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

GOLDMAN SACHS EXECUTION & CLEARING, L.P.
CRD 3466 · SEC 8-526

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
CRD 131487 · SEC 8-66471

WPS PRIME SERVICES, LLC
CRD 146103 · SEC 8-67787

Fund details & source

Fund ID: 805-8612917538
Reported beneficial owners: 0
Minimum commitment: $0

Form ADV 1475712 · Dec 18, 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.

PROPHECY ALPHA FUND LPHedge Fund · Last reported Sep 28, 2017$29MGross asset value

Fund administrator NOTTINGHAM INVESTMENT ADMINISTRATORS ROCKY MOUNT, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor SANVILLE AND COMPANY ABINGTON, Pennsylvania, United States

Custodian PNC BANK 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: No

Fund details & source

Fund ID: 805-5790765981
Reported beneficial owners: 2
Minimum commitment: $1M

Form ADV 1121524 · Sep 28, 2017 · 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.

PTA III, LPHedge Fund · Last reported Aug 4, 2016$24.4MGross asset value

Fund administrator CV FUND ADMINISTRATION PHILADELPHIA, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor CITRIN COOPERMAN COMPANY, LLP PHILADELPHIA, Pennsylvania, United States

Custodian PNC BANK 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: No

Fund details & source

Fund ID: 805-3848280370
Reported beneficial owners: 1
Minimum commitment: $250K

Form ADV 1033078 · Aug 4, 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.

PTA II, LPHedge Fund · Last reported Aug 4, 2016$5.63MGross asset value

Fund administrator CV FUND ADMINISTRATION PHILADELPHIA, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor CITRIN COOPERMAN COMPANY, LLP PHILADELPHIA, Pennsylvania, United States

Custodian PNC BANK 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: No

Fund details & source

Fund ID: 805-3417308420
Reported beneficial owners: 1
Minimum commitment: $250K

Form ADV 1033078 · Aug 4, 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.

PTA IV, LPHedge Fund · Last reported Aug 4, 2016$2.54MGross asset value

Fund administrator CV FUND ADMINISTRATION PHILADELPHIA, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor CITRIN COOPERMAN COMPANY, LLP PHILADELPHIA, Pennsylvania, United States

Custodian PNC BANK 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: No

Fund details & source

Fund ID: 805-5341522850
Reported beneficial owners: 1
Minimum commitment: $250K

Form ADV 1033078 · Aug 4, 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.

PROPHECY CAPITAL MANAGEMENT, L.P.Hedge Fund · Last reported Oct 31, 2014$1.2MGross asset value

Fund administrator CV ADMINISTRATION WEST CONSHOHOCKEN, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian CONVERGEX PRIME SERVICES LLC ATLANTA, Georgia, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

CONVERGEX PRIME SERVICES LLC
SEC 8-67289

Fund details & source

Fund ID: 805-2450143213
Reported beneficial owners: 8
Minimum commitment: $1M

Form ADV 851991 · Oct 31, 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: Dec 18, 2020. View historical filings

Reported services

Pooled investment vehicle management · Selection of other advisers

Compensation

Percentage of assets · Performance-based

Principal office

641 LEXINGTON AVENUE, 13TH FLOOR
NEW YORK, NY, 10022, United States

CRD 134556

Filing source

Form ADV 1475712 · Dec 18, 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.