Investment adviser · CRD 133149

RFFM

Investment adviser filing (IA)

RESOURCE FINANCIAL FUND MANAGEMENT, LLC

NEW YORK, NY, United States · Form ADV filed Mar 27, 2019

Regulatory AUM
$74M
Form ADV · Item 5.F
Client accounts
12
Accounts, not individual clients
Employees
80
Reported in this filing
Advisory professionals
7
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 vehicles12$74,035,462100.0%
Filing source

Form ADV 1267107 · Mar 27, 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

31 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.

SUMMER STREET 2005-1, LTD.Securitized Asset Fund · Last reported Mar 27, 2019$44.7MGross asset value
Fund administrator INTERTRUST CAYMAN GEORGE TOWN, GRAND CAYMAN, Cayman Islands Investor statements: No (provided to no investors) Related to adviser: No
Custodian BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, 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
Fund details & source
Fund ID
805-4397091508
Reported beneficial owners
4
Minimum commitment
$250K

Form ADV 1267107 · Mar 27, 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.

COMPASS ISLAND INVESTMENT OPPORTUNITY FUND A, L.P.Private Equity Fund · Last reported Mar 27, 2019$7.42MGross asset value
Auditor GRANT THORNTON LLP PHILADELPHIA, Pennsylvania, United States
Custodian REGIONS BANK LITTLE ROCK, Arkansas, United States Related to adviser: No
Custodian TD BANK, N.A. PHILADELPHIA, Pennsylvania, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

GRANT THORNTON LLP
PCAOB 248

Fund details & source
Fund ID
805-8524949109
Reported beneficial owners
2
Minimum commitment
$10M

Form ADV 1267107 · Mar 27, 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.

GSC ABS CDO 2006-4U, LTD.Securitized Asset Fund · Last reported Mar 27, 2019$7.3MGross asset value
Fund administrator U.S. BANK GLOBAL CORPORATE TRUST SERVICES CHICAGO, Illinois, United States Investor statements: No (provided to no investors) Related to adviser: No
Custodian U.S. BANK GLOBAL CORPORATE TRUST SERVICES CHICAGO, Illinois, 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
Fund details & source
Fund ID
805-9341309366
Reported beneficial owners
9
Minimum commitment
$250K

Form ADV 1267107 · Mar 27, 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.

CRADLE COVE PARTNERS II, L.P.Private Equity Fund · Last reported Mar 27, 2019$4.61MGross asset value
Auditor GRANT THORNTON LLP PHILADELPHIA, Pennsylvania, United States
Custodian FIG PARTNERS, LLC ATLANTA, Georgia, United States Related to adviser: No
Custodian RAYMOND JAMES & ASSOCIATES, INC. SAN FRANCISCO, California, United States Related to adviser: No
Custodian TD BANK, N.A. PHILADELPHIA, Pennsylvania, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

GRANT THORNTON LLP
PCAOB 248

FIG PARTNERS, LLC
SEC 8-49517

RAYMOND JAMES & ASSOCIATES, INC.
SEC 8-10999

Fund details & source
Fund ID
805-4074359558
Reported beneficial owners
81
Minimum commitment
$200K
Form D file number
021-98850

Form ADV 1267107 · Mar 27, 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.

ISCHUS SYNTHETIC ABS CDO 2006-2, LTD.Securitized Asset Fund · Last reported Mar 27, 2019$4MGross asset value
Fund administrator U.S. BANK GLOBAL TRUST SERVICES CHICAGO, Illinois, United States Investor statements: No (provided to no investors) Related to adviser: No
Custodian U.S. BANK GLOBAL TRUST SERVICES CHICAGO, Illinois, 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
Fund details & source
Fund ID
805-9591582114
Reported beneficial owners
11
Minimum commitment
$200K

Form ADV 1267107 · Mar 27, 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.

ISCHUS CDO I, LTD.Securitized Asset Fund · Last reported Mar 27, 2019$3MGross asset value
Fund administrator BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Investor statements: No (provided to no investors) Related to adviser: No
Custodian BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, 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
Fund details & source
Fund ID
805-3147314159
Reported beneficial owners
10
Minimum commitment
$1M

Form ADV 1267107 · Mar 27, 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.

CRADLE COVE INVESTMENT OPPORTUNITIES FUND, L.P.Private Equity Fund · Last reported Mar 27, 2019$2.73MGross asset value
Auditor GRANT THORNTON LLP PHILADELPHIA, Pennsylvania, United States
Custodian FIG PARTNERS, LLC ATLANTA, Georgia, United States Related to adviser: No
Custodian TD BANK, N.A. PHILADELPHIA, Pennsylvania, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

GRANT THORNTON LLP
PCAOB 248

FIG PARTNERS, LLC
SEC 8-49517

Fund details & source
Fund ID
805-1364843604
Reported beneficial owners
29
Minimum commitment
$200K
Form D file number
021-115726

Form ADV 1267107 · Mar 27, 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 27, 2019. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

717 5TH AVENUE, 14TH FLOOR
NEW YORK, NY, 10022, United States

CRD 133149

Filing source

Form ADV 1267107 · Mar 27, 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.