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.

KORE INSURANCE FUND SERIES INTERESTS OF THE SALI MULTI-SERIES FUND V, L.P.Hedge Fund$141MGross asset value

Form D fundraising filings

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

Fund administrator JPMORGAN CHASE BANK NA NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor SPICER JEFFRIES DENVER, Colorado, United States Other funds reporting this name →
Custodian BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →
Marketer STERN CAPITAL LLC NEW YORK, New York, 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

SPICER JEFFRIES
PCAOB 349

BANK OF NEW YORK MELLON
LEI HPFHU0OQ28E4N0NFVK49

STERN CAPITAL LLC
CRD 131226 · SEC 8-66433

Fund details & source
Fund ID
805-2351783185
Reported beneficial owners
4
Minimum commitment
$500K
Form D file number
021-282351

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.

ALKEON INSURANCE GROWTH FUND SERIES INTERESTS OF THE SALI MULTI-SERIES FUND, L.P.Hedge Fund$139MGross asset value

Form D fundraising filings

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

Fund administrator BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor RSM US LLP CHICAGO, Illinois, United States Other funds reporting this name →
Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →
Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No 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
Yes

RSM US LLP
PCAOB 49

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422 · LEI 1V8Y6QCX6YMJ2OELII46

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359 · LEI 549300PMHS66E71I2D34

MORGAN STANLEY & CO. LLC
SEC 8-15869 · LEI 9R7GPTSO7KV3UQJZQ07

THE BANK OF NEW YORK MELLON
LEI HPFHU0OQ28E4N0NFVK4

Fund details & source
Fund ID
805-4962389047
Reported beneficial owners
5
Minimum commitment
$250K
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.

GOLUB CAPITAL INSURANCE FUND II SERIES INTERESTS OF THE SALI MULTI-SERIES FUND IV, L.P.Hedge Fund$138MGross 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 SPICER JEFFRIES LLP DENVER, Colorado, United States Other funds reporting this name →
Custodian AMERICA STOCK TRANSFER & TRUST COMPANY, LLC BROOKLYN, New York, United States Related to adviser: No Other funds reporting this name →
Custodian CHARLES SCHWAB & CO., INC. SAN FRANCISCO, California, United States Related to adviser: No Other funds reporting this name →
Custodian WELLS FARGO BANK SAN FRANCISCO, California, 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

CHARLES SCHWAB & CO., INC.
SEC 8-16514

WELLS FARGO BANK
LEI KB1H1DSPRFMYMCUFXT09

Fund details & source
Fund ID
805-8892621304
Reported beneficial owners
1
Minimum commitment
$1M
Form D file number
021-185414

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 V SERIES INTERESTS OF THE SALI MULTI-SERIES FUND LPPrivate Equity Fund$124MGross 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 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

KPMG LLP
PCAOB 185

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

FAS CORP.
CRD 43536 · SEC 8-50307

Fund details & source
Fund ID
805-8663309989
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.

LANDMARK PARTNERS INSURANCE FUND SERIES INTERESTS OF THE SALI MULTI-SERIES FUND, L.P.Private Equity Fund$124MGross asset value

Form D fundraising filings

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

Fund administrator LANDMARK EQUITY ADVISORS, LLC SIMSBURY, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor PRICEWATERHOUSE COOPERS HARTFORD, Connecticut, United States Other funds reporting this name →
Custodian CHARLES SCHWAB & CO., INC. SAN FRANCISCO, California, United States Related to adviser: No Other funds reporting this name →
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, 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

PRICEWATERHOUSE COOPERS
PCAOB 238

CHARLES SCHWAB & CO., INC.
SEC 8-16514

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LEI 8NAV47T0Y26Q87Y0QP81

FAS CORP.
CRD 43536 · SEC 8-50307

Fund details & source
Fund ID
805-8459206648
Reported beneficial owners
1
Minimum commitment
$25M
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.

CARLYLE PRIVATE EQUITY SERIES - SERIES INTERESTS OF THE SALI MULTI-SERIES FUND, L.P.Private Equity Fund$120MGross asset value

Form D fundraising filings

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

Fund administrator INTERNATIONAL FUND SERVICES BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor ERNST & YOUNG LLP ARLINGTON, Virginia, United States Other funds reporting this name →
Custodian BANK OF AMERICA NATIONAL ASSOCIATION CHARLOTTE, North Carolina, United States Related to adviser: No Other funds reporting this name →
Custodian WELLS FARGO BANK, N.A. SAN FRANCISCO, California, 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 & YOUNG LLP
PCAOB 42

BANK OF AMERICA NATIONAL ASSOCIATION
LEI B4TYDEB6GKMZO031MB27

WELLS FARGO BANK, N.A.
LEI KB1H1DSPRFMYMCUFXT09

FAS CORP.
CRD 43536 · SEC 8-50307

Fund details & source
Fund ID
805-1024991103
Reported beneficial owners
1
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.

BOOTHBAY INSURANCE DEDICATED FUND SERIES INTERESTS OF THE SALI MULTI-SERIES FUND, LPHedge Fund$114MGross asset value

Form D fundraising filings

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

Fund administrator NAV FUND ADMINISTRATION GROUP OAKBROOK TERRACE, Illinois, 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 BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →
Custodian FROST BANK SAN ANTONIO, Texas, United States Related to adviser: No Other funds reporting this name →
Prime broker BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, 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

SPICER JEFFRIES LLP
PCAOB 349

BNP PARIBAS PRIME BROKERAGE, INC.
SEC 8-40490

BNP PARIBAS PRIME BROKERAGE, INC.
CRD 24962 · SEC 8-40490

Fund details & source
Fund ID
805-5248833946
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.

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.