Investment adviser · CRD 124235

SALI FUND SERVICES

SALI FUND MANAGEMENT, LLC

AUSTIN, TX, United States · Form ADV filed Nov 2, 2021

Regulatory AUM
$15.9B
Form ADV · Item 5.F
Client accounts
131
Accounts, not individual clients
Employees
48
Reported in this filing
Advisory professionals
6
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 vehicles131$15,933,229,303100.0%
Filing source

Form ADV 1575049 · Nov 2, 2021 · Item 5.D

Reported by SALI FUND MANAGEMENT, LLC (CRD 124235).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Private funds & service providers

134 detailed fund records

Largest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.

CAPITAL OPTIMIZED FIXED INCOME (INSURANCE DEDICATED) FUND SERIES INTERESTS OF THE SALI SVW MULTI-SERIES FUND, L.P.Other Private Fund$292MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Fund administrator STATE STREET BANK & TRUST CO. BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor KPMG, LLP NEW YORK, New York, United States Other funds reporting this name →
Custodian STATE STREET BANK & TRUST CO. BOSTON, Massachusetts, United States Related to adviser: No Other funds reporting this name →
Prime broker STATE STREET BANK & TRUST CO. BOSTON, Massachusetts, United States Other funds reporting this name →
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

KPMG, LLP
PCAOB 185

STATE STREET BANK & TRUST CO.
LEI 571474TGEMMWANRLN572

Fund details & source
Fund ID
805-8811704289
Reported beneficial owners
1
Minimum commitment
$50M
Form D file number
021-334544

Form ADV 1575049 · Nov 2, 2021 · Schedule D 7.B.(1)

Reported by SALI FUND MANAGEMENT, LLC (CRD 124235).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

COVENANT GLOBAL EQUITIES FUND SERIES INTERESTS OF THE SALI MULTI-SERIES FUND II, LPHedge Fund$260MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Fund administrator ESSENTIAL FUND SERVICES NEW ROCHELLE, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor SPICER JEFFRIES LLP DENVER, Colorado, United States Other funds reporting this name →
Custodian FIDELITY DISTRIBUTORS COMPANY LLC CINCINNATI, Ohio, United States Related to adviser: No Other funds reporting this name →
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

SPICER JEFFRIES LLP
PCAOB 349

FIDELITY DISTRIBUTORS COMPANY LLC
SEC 8-35097 · LEI 54930027O2AJWDBVT542

Fund details & source
Fund ID
805-6769581351
Reported beneficial owners
118
Minimum commitment
$100K
Form D file number
021-136037

Form ADV 1575049 · Nov 2, 2021 · Schedule D 7.B.(1)

Reported by SALI FUND MANAGEMENT, LLC (CRD 124235).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

AUDAX SENIOR LOAN INSURANCE FUND SERIES INTERESTS OF THE SALI MULTI-SERIES FUND, L.P.Hedge Fund$252MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Fund administrator AUDAX GROUP BOSTON, Massachusetts, United States Investor statements: No (provided to no investors) Related to adviser: No Other funds reporting this name →
Auditor ERNST & YOUNG LLP BOSTON, Massachusetts, United States Other funds reporting this name →
Custodian BANK OF AMERICA, N.A. CHARLOTTE, North Carolina, United States Related to adviser: No Other funds reporting this name →
Custodian STATE STREET CORPORATION BOSTON, Massachusetts, United States Related to adviser: No Other funds reporting this name →
Custodian WELLS FARGO BANK, NATIONAL ASSOCIATION SAN FRANCISCO, California, United States Related to adviser: No Other funds reporting this name →
Prime broker BANK OF AMERICA MERRILL LYNCH CHICAGO, Illinois, United States Other funds reporting this name →

See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.

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

ERNST & YOUNG LLP
PCAOB 42

STATE STREET CORPORATION
LEI 571474TGEMMWANRLN572

WELLS FARGO BANK, NATIONAL ASSOCIATION
LEI KB1H1DSPRFMYMCUFXT09

Fund details & source
Fund ID
805-4068179665
Reported beneficial owners
4
Minimum commitment
$1M
Form D file number
021-76044

Form ADV 1575049 · Nov 2, 2021 · Schedule D 7.B.(1)

Reported by SALI FUND MANAGEMENT, LLC (CRD 124235).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

NEUBERGER BERMAN INSURANCE FUND IV SERIES INTERESTS OF THE SALI MULTI-SERIES FUND, LPPrivate Equity Fund$250MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Fund administrator MUFG CAPITAL ANALYTICS DALLAS, Texas, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor KPMG LLP DALLAS, Texas, United States Other funds reporting this name →
Custodian STATE STREET BANK & TRUST CO. BOSTON, Massachusetts, United States Related to adviser: No Other funds reporting this name →
Marketer FAS CORP. LEAWOOD, Kansas, United States Related to adviser: No Other funds reporting this name →
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

KPMG LLP
PCAOB 185

STATE STREET BANK & TRUST CO.
LEI 571474TGEMMWANRLN572

FAS CORP.
CRD 43536 · SEC 8-50307

Fund details & source
Fund ID
805-4411937799
Reported beneficial owners
1
Minimum commitment
$100M
Form D file number
021-76044

Form ADV 1575049 · Nov 2, 2021 · Schedule D 7.B.(1)

Reported by SALI FUND MANAGEMENT, LLC (CRD 124235).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

SHENKMAN SHORT DURATION INSURANCE FUND SERIES INTERESTS OF THE SALI MULTI-SERIES FUND, L.P.Hedge Fund$238MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Fund administrator SS&C TECHNOLOGIES NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor EISNER AMPER LLP NEW YORK, New York, United States Other funds reporting this name →
Custodian U.S. BANK N.A. CHICAGO, Illinois, United States Related to adviser: No Other funds reporting this name →
Marketer FAS CORP. LEAWOOD, Kansas, United States Related to adviser: No Other funds reporting this name →
Prime broker U.S. BANK N.A. CHICAGO, Illinois, United States Other funds reporting this name →
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

EISNER AMPER LLP
PCAOB 274

U.S. BANK N.A.
LEI 6BYL5QZYBDK8S7L73M02

FAS CORP.
CRD 43536 · SEC 8-50307

Fund details & source
Fund ID
805-4466605137
Reported beneficial owners
3
Minimum commitment
$1M
Form D file number
021-76044

Form ADV 1575049 · Nov 2, 2021 · Schedule D 7.B.(1)

Reported by SALI FUND MANAGEMENT, LLC (CRD 124235).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

PINEBRIDGE PRIVATE EQUITY INSURANCE FUND SERIES INTERESTS OF THE SALI MULTI-SERIES FUND, L.P.Private Equity Fund$230MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Fund administrator SS&C TECHNOLOGIES, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor ERNST AND YOUNG, LLP NEW YORK, New York, United States Other funds reporting this name →
Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No Other funds reporting this name →
Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No Other funds reporting this name →
Marketer FAS CORP. LEAWOOD, Kansas, United States Related to adviser: No Other funds reporting this name →
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

ERNST AND YOUNG, LLP
PCAOB 42

FIRST REPUBLIC BANK
LEI YWC0TIKBQM2JV8L4IV08

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

FAS CORP.
CRD 43536 · SEC 8-50307

Fund details & source
Fund ID
805-9666095370
Reported beneficial owners
2
Minimum commitment
$10M
Form D file number
021-76044

Form ADV 1575049 · Nov 2, 2021 · Schedule D 7.B.(1)

Reported by SALI FUND MANAGEMENT, LLC (CRD 124235).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

THE COMMERCE TRUST COMPANY INSURANCE FUND SERIES INTERESTS OF THE SALI MULTI-SERIES FUND, LPHedge Fund$227MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Fund administrator ESSENTIAL FUND SERVICES NEW ROCHELLE, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor SPICER JEFFRIES LLP DENVER, Colorado, United States Other funds reporting this name →
Custodian COMMERCE BANK KANSAS CITY, Missouri, United States Related to adviser: No Other funds reporting this name →
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

SPICER JEFFRIES LLP
PCAOB 349

COMMERCE BANK
LEI 7DMUJTL9FFTVIAG9H788

Fund details & source
Fund ID
805-8181239620
Reported beneficial owners
2
Minimum commitment
$500K
Form D file number
021-76044

Form ADV 1575049 · Nov 2, 2021 · Schedule D 7.B.(1)

Reported by SALI FUND MANAGEMENT, LLC (CRD 124235).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Services & filing details

Showing values from the selected filing. Latest observed filing does not establish current registration status.

What changed?

No comparable changes in the displayed metrics.

Filing source

Form ADV 1575049 · Nov 2, 2021 · Items 1 & 5

Reported by SALI FUND MANAGEMENT, LLC (CRD 124235).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Management of assets

Discretionary
$15.9B
Non-discretionary
$0
Filing history · 0 annual filings

Adviser-level financial and staffing figures are unavailable in these annual filings. Select a filing to view its reported funds and providers.

    Reported services

    Pooled investment vehicle management · Selection of other advisers

    Compensation

    Percentage of assets · Hourly · Fixed · Performance-based

    Principal office

    6850 AUSTIN CENTER BLVD., SUITE 300
    AUSTIN, TX, 78731, United States

    CRD 124235

    Filing source

    Form ADV 1575049 · Nov 2, 2021 · Items 1 & 5

    Reported by SALI FUND MANAGEMENT, LLC (CRD 124235).

    Other-Than Anual Amendment For Registered Adviser.

    Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.