Investment adviser · CRD 133043

PROXIMA CAPITAL MANAGEMENT, LLC

Investment adviser filing (IA)

NEW YORK CITY, NY, United States · Form ADV filed Mar 26, 2019

Regulatory AUM: $186M
Client accounts: 3
Employees: 4
Advisory professionals: 3

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	$186,056,973	100.0%

Filing source

Form ADV 1267531 · Mar 26, 2019 · 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

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

PROXIMA CAPITAL MASTER FUND, LTDHedge Fund · Last reported Mar 26, 2019$186MGross 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 RSM CAYMAN LTD. GRAND CAYMAN, Cayman Islands

Auditor RSM US LLP NEW YORK, New York, United States

Custodian HSBC BANK USA 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

Marketer CAPLINK SECURITIES, INC HERMOSA BEACH, California, United States Related to adviser: No

Prime broker MORGAN STANLEY & 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: Yes

RSM US LLP
PCAOB 49

MORGAN STANLEY & CO. LLC
SEC 8-15869

CAPLINK SECURITIES, INC
CRD 130702 · SEC 8-66379

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

Fund details & source

Fund ID: 805-9229960648
Reported beneficial owners: 30
Minimum commitment: $1M
Form D file number: 021-140325
Form D file number: 021-218948

Form ADV 1267531 · Mar 26, 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 26, 2019. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

845 THIRD AVENUE, 16TH FLOOR
NEW YORK CITY, NY, 10022, United States

CRD 133043

Filing source

Form ADV 1267531 · Mar 26, 2019 · 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.