Investment adviser · CRD 110276

SARGENT MANAGEMENT CO

Investment adviser filing (IA)

MINNETONKA, MN, United States · Form ADV filed Nov 18, 2021

Employees
2
Reported in this filing
Advisory professionals
2
Investment advisory functions

Not available in this filing: Regulatory AUM, Client accounts.

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.

SMC ALTERNATIVE INVESTMENT FUNDPrivate Equity Fund · Last reported Nov 18, 2021$209KGross asset value
Auditor KPMG, LLP MINNEAPOLIS, Minnesota, United States
Custodian CHARLES SCHWAB & CO., INC. SAN FRANCISCO, California, United States Related to adviser: No
Prime broker CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC SAN FRANSISCO, California, United States
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

KPMG, LLP
PCAOB 185

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

CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
CRD 151470 · SEC 8-68376

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-6377628134
Reported beneficial owners
11
Minimum commitment
$1

Form ADV 1578616 · Nov 18, 2021 · 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.

SMC PRIVATE OPPORTUNITY FUNDPrivate Equity Fund · Last reported Nov 18, 2021$86KGross asset value
Auditor KPMG, LLP MINNEAPOLIS, Minnesota, United States
Custodian CHARLES SCHWAB & CO., INC. SAN FRANCISCO, California, United States Related to adviser: No
Custodian JP MORGAN CHASE BANK NA CHICAGO, Illinois, 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

KPMG, LLP
PCAOB 185

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

Fund details & source
Fund ID
805-7838801611
Reported beneficial owners
16
Minimum commitment
$1

Form ADV 1578616 · Nov 18, 2021 · 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.

SMC BROADWAY PARTNERSReal Estate Fund · Last reported Feb 4, 2013$616KGross asset value
Auditor BAKER TILLY VIRCHOW KRAUSE, LLP MINNEAPOLIS, Minnesota, United States
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
No
Administrator other than the adviser
No
External marketing
No
Fund details & source
Fund ID
805-9954969089
Reported beneficial owners
25
Minimum commitment
$1

Form ADV 698465 · Feb 4, 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.

SMC PRIVATE CAPITAL FUNDPrivate Equity Fund · Last reported Aug 5, 2015$97.9KGross asset value
Auditor BAKER TILLY VIRCHOW KRAUSE, LLP MINNEAPOLIS, Minnesota, United States
Custodian BESSEMER TRUST 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
No
External marketing
No
Fund details & source
Fund ID
805-9918294006
Reported beneficial owners
14
Minimum commitment
$1

Form ADV 939968 · Aug 5, 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.

Services & filing details

Most recent filing: Nov 18, 2021. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Not reported in these imported fields

Principal office

701 CARLSON PARKWAY, SUITE 1400
MINNETONKA, MN, 55305, United States

CRD 110276

Filing source

Form ADV 1578616 · Nov 18, 2021 · 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.