Investment adviser · CRD 159603

SECOR CAPITAL ADVISORS, LP

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 29, 2019

Regulatory AUM: $1.16B
Client accounts: 4
Employees: 35
Advisory professionals: 10

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Other clients	Fewer than 5	$587,022,142	50.6%
Pooled investment vehicles	3	$574,081,462	49.4%

Filing source

Form ADV 1302656 · Mar 29, 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

2 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.

SECOR ALPHA MASTER FUND, LPHedge Fund · Last reported Mar 29, 2019$574MGross asset value

Feeder funds

SECOR ALPHA FUND, LP
SECOR ALPHA FUND, LTD.

Fund administrator NORTHERN TRUST GLOBAL FUND SERVICES CAYMAN LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG (CAYMAN) GRAND CAYMAN, Cayman Islands

Auditor KPMG, LLP NEW YORK, New York, United States

Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No

Custodian BNP PARIBAS NEW YORK, New York, United States Related to adviser: No

Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No

Custodian SOCIETE GENERALE S A NEW YORK, New York, United States Related to adviser: No

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States

Prime broker BNP PARIBAS NEW YORK, New York, United States

Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States

Prime broker SOCIETE GENERALE S A 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

KPMG (CAYMAN)
PCAOB 1323

KPMG, LLP
PCAOB 185

BARCLAYS CAPITAL INC.
SEC 8-41342

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

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

Fund details & source

Fund ID: 805-1620446406
Reported beneficial owners: 34
Minimum commitment: $1M
Form D file number: 021-185570

Form ADV 1302656 · Mar 29, 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.

SECOR MSW FUND SPCHedge Fund · Last reported Sep 22, 2017$336MGross asset value

Form D fundraising filings

SECOR MSW Fund SPC

Feeder funds

SECOR MSW FUND, LTD.

Fund administrator NORTHERN TRUST GLOBAL FUND SERVICES CAYMAN LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP NEW YORK, New York, United States

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

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: Yes
External marketing: No

MORGAN STANLEY & CO. LLC
SEC 8-15869

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

Fund details & source

Fund ID: 805-5159280281
Reported beneficial owners: 29
Minimum commitment: $100K
Form D file number: 021-248267

Form ADV 1141870 · Sep 22, 2017 · 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 29, 2019. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

ONE PENN PLAZA, SUITE 4625
NEW YORK, NY, 10119, United States

CRD 159603

Filing source

Form ADV 1302656 · Mar 29, 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.