Investment adviser · CRD 160952

REGIMENT CAPITAL ADVISORS

Exempt reporting adviser (ERA)

Exempt reporting advisers use a shorter Form ADV report. Some adviser-level figures are not reported; fund disclosures appear below when available.

REGIMENT CAPITAL MANAGEMENT, LLC

BOSTON, MA, United States · Form ADV filed Apr 6, 2016

Adviser-level assets, account counts and staffing figures are unavailable in this filing. View the reported fund disclosures below →

Private funds & service providers

10 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.

REGIMENT CAPITAL LTD.Hedge Fund · Last reported Apr 6, 2016$66.9MGross asset value

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

Auditor PRICEWATERHOUSECOOPERS, LLP BOSTON, Massachusetts, United States

Custodian J.P. MORGAN CLEARING CORP. 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

Prime broker J.P. MORGAN CLEARING CORP. 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

J.P. MORGAN CLEARING CORP.
SEC 8-43724

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source

Fund ID: 805-6372524737
Reported beneficial owners: 96
Minimum commitment: $1M
Form D file number: 021-130447

Form ADV 1008808 · Apr 6, 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.

REGIMENT CAPITAL SPECIAL SITUATIONS FUND V, LPHedge Fund · Last reported Aug 20, 2012$1.67BGross asset value

Fund administrator STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS, LLP BOSTON, Massachusetts, United States

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, 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: 805-2217897511
Reported beneficial owners: 133
Minimum commitment: $1M
Form D file number: 021-159534

Form ADV 665298 · Aug 20, 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.

CAVALRY CLO II, LTD.Securitized Asset Fund · Last reported Mar 30, 2015$434MGross asset value

Fund administrator US BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Investor statements: No (provided to no investors) Related to adviser: No

Custodian US BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Related to adviser: No

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No

Provider details

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

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

Fund details & source

Fund ID: 805-2413269610
Reported beneficial owners: 7
Minimum commitment: $100K

Form ADV 891411 · Mar 30, 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.

CAVALRY CLO IV, LTD.Securitized Asset Fund · Last reported Mar 30, 2015$394MGross asset value

Fund administrator US BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Investor statements: No (provided to no investors) Related to adviser: No

Custodian US BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Related to adviser: No

Marketer WELLS FARGO SECURITIES, LLC CHARLOTTE, North Carolina, United States Related to adviser: No

Provider details

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

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Fund details & source

Fund ID: 805-1353844822
Reported beneficial owners: 2
Minimum commitment: $250K

Form ADV 891411 · Mar 30, 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.

CAVALRY CLO III, LTD.Securitized Asset Fund · Last reported Mar 30, 2015$391MGross asset value

Fund administrator US BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Investor statements: No (provided to no investors) Related to adviser: No

Custodian US BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Related to adviser: No

Marketer WELLS FARGO SECURITIES, LLC CHARLOTTE, North Carolina, United States Related to adviser: No

Provider details

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

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Fund details & source

Fund ID: 805-9606285925
Reported beneficial owners: 2
Minimum commitment: $250K

Form ADV 891411 · Mar 30, 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.

CAVALRY CLO V, LTDSecuritized Asset Fund · Last reported Mar 30, 2015$352MGross asset value

Form D fundraising filings

Cavalry CLO V, LTD.

Fund administrator US BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Investor statements: No (provided to no investors) Related to adviser: No

Custodian US BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Related to adviser: No

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No

Provider details

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

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

Fund details & source

Fund ID: 805-6072051842
Reported beneficial owners: 3
Minimum commitment: $250K
Form D file number: 021-231785

Form ADV 891411 · Mar 30, 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.

CAVALRY CLO I, LTD.Securitized Asset Fund · Last reported Mar 28, 2013$238MGross asset value

Fund administrator US BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Investor statements: No (provided to no investors) Related to adviser: No

Custodian US BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, United States Related to adviser: No

Marketer J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Provider details

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

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 801-3702

Fund details & source

Fund ID: 805-2883990570
Reported beneficial owners: 9
Minimum commitment: $100K

Form ADV 723683 · Mar 28, 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.

Services & filing details

Most recent filing: Apr 6, 2016. View historical filings

Reported services

Not reported in these imported fields

Compensation

Not reported in these imported fields

Principal office

222 BERKELEY STREET, 12TH FLOOR
BOSTON, MA, 02116, United States

CRD 160952

Filing source

Form ADV 1008808 · Apr 6, 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.