Investment adviser · CRD 161392

ROCKVIEW MANAGEMENT, LLC

Investment adviser filing (IA)

STAMFORD, CT, United States · Form ADV filed Apr 14, 2016

Regulatory AUM
$126M
Form ADV · Item 5.F
Client accounts
7
Accounts, not individual clients
Employees
4
Reported in this filing
Advisory professionals
3
Investment advisory functions

Private funds & service providers

4 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.

ISLA ACQUISITION, LLCHedge Fund · Last reported Apr 14, 2016$27MGross asset value
Fund administrator BNP PARIBAS FUND ADMINISTRATION SERVICES (CAYMAN) LTD. GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor EISNER AMPER LLP NEW YORK, New York, United States
Custodian BNP PARIBAS BANK & TRUST CAYMAN LIMITED GRAND CAYMAN, Cayman Islands Related to adviser: No
Custodian CREDIT SUISSE SECURITIES (USA) LLC 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

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

Fund details & source
Fund ID
805-3702257774
Reported beneficial owners
2
Minimum commitment
$1M

Form ADV 1010751 · Apr 14, 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.

ROCKVIEW SECONDARY FUND, LLCHedge Fund · Last reported Apr 14, 2016$13.5MGross asset value

Form D fundraising filings

RockView Secondary Fund, LLC

Fund administrator BNP PARIBAS FUND ADMINISTRATION SERVICES (CAYMAN) LTD. GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor EISNER AMPER LLP NEW YORK, New York, United States
Custodian BNP PARIBAS BANK & TRUST CAYMAN LIMITED GRAND CAYMAN, Cayman Islands Related to adviser: No
Custodian CREDIT SUISSE SECURITIES (USA) LLC 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

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

Fund details & source
Fund ID
805-8315258939
Reported beneficial owners
10
Minimum commitment
$1M
Form D file number
021-203599

Form ADV 1010751 · Apr 14, 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.

ROCKVIEW TRADING, LTD.Hedge Fund · Last reported Apr 14, 2016$3.8MGross asset value

Feeder funds

  • ROCKVIEW INTERNATIONAL FUND, LTD CLASS A
  • ROCKVIEW PARTNERS, LP CLASS A
Fund administrator GEMINI HEDGE FUND SERVICES, LLC HAUPPAUGE, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor EISNER AMPER LLP NEW YORK, New York, United States
Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
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

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

GOLDMAN, SACHS & CO.
SEC 8-129

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

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

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

Fund details & source
Fund ID
805-1696887598
Reported beneficial owners
29
Minimum commitment
$1M
Form D file number
021-154318
Form D file number
021-154365

Form ADV 1010751 · Apr 14, 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.

ROCKVIEW SHORT ALPHA FUND, LTD.Hedge Fund · Last reported Apr 14, 2016$1.5MGross asset value
Fund administrator GEMINI HEDGE FUND SERVICES, LLC HAUPPAUGE, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor EISNER AMPER LLP NEW YORK, New York, United States
Custodian J.P. MORGAN CLEARING CORP. 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
805-3287606162
Reported beneficial owners
1
Minimum commitment
$1M

Form ADV 1010751 · Apr 14, 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.

Services & filing details

Most recent filing: Apr 14, 2016. View historical filings

Reported services

Investment company portfolio management · Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

4 STAMFORD PLAZA - 107 ELM STREET, 10TH FLOOR
STAMFORD, CT, 06902, United States

CRD 161392

Filing source

Form ADV 1010751 · Apr 14, 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.