Investment adviser · CRD 104628

SMITH BREEDEN ASSOCIATES INC

Investment adviser filing (IA)

DURHAM, NC, United States · Form ADV filed Mar 27, 2013

Regulatory AUM
$7.81B
Form ADV · Item 5.F
Client accounts
39
Accounts, not individual clients
Employees
55
Reported in this filing
Advisory professionals
20
Investment advisory functions

Private funds & service providers

7 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.

SMITH BREEDEN INSTITUTIONAL SHORT DURATION MASTER LTD.Hedge Fund · Last reported Mar 27, 2013$123MGross asset value

Feeder funds

  • SMITH BREEDEN INSTITUTIONAL SHORT DURATION FUND
  • SMITH BREEDEN INSTITUTIONAL SHORT DURATION FUND LTD.
Fund administrator U.S. BANCORP FUND SERVICES, LLC MILWAUKEE, Wisconsin, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LTD CAMANA BAY, Cayman Islands
Custodian U.S. BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, 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
Fund details & source
Fund ID
805-2795963425
Reported beneficial owners
8
Minimum commitment
$2M

Form ADV 714752 · Mar 27, 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.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA ON BEHALF OF ITS SEPARATE ACCOUNT NUMBER VCA-GI-100-7-SB-ARHedge Fund · Last reported Mar 27, 2013$122MGross asset value
Fund administrator PRUDENTIAL INSURANCE COMPANY OF AMERICA NEWARK, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian STATE STREET BANK & TRUST COMPANY KANSAS CITY, Missouri, United States Related to adviser: No
Marketer FINANCIAL SOLUTIONS PARTNERS, LLC NEW YORK, New York, United States Related to adviser: No
Marketer PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC NEWARK, New Jersey, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD 18353 · SEC 8-36540

Fund details & source
Fund ID
805-8180363865
Reported beneficial owners
9
Minimum commitment
$30M
Form D file number
021-161889

Form ADV 714752 · Mar 27, 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.

PINE MOUNTAIN CDO LTDSecuritized Asset Fund · Last reported Mar 27, 2013$37.6MGross asset value
Fund administrator DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian STATE STREET BANK & TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-8035501280
Reported beneficial owners
1
Minimum commitment
$250K

Form ADV 714752 · Mar 27, 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.

METROPOLITAN LIFE INSURANCE COMPANY ON BEHALF OF ITS SEPARATE ACCOUNT NO. 389Hedge Fund · Last reported Mar 27, 2013$22.7MGross asset value
Fund administrator METROPOLITAN LIFE INSURANCE COMPANY BRIDGEWATER, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor NO SEPARATE FINANCIAL STATEMENTS. ITS FINANCIAL INFO INCLUDED IN METLIFE FINANCIAL STATEMENTS AUDITED BY DELOITTE & TOUCHE LLP TAMPA, Florida, United States
Custodian STATE STREET BANK & TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No
Marketer FINANCIAL SOLUTIONS PARTNERS, 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
Yes
Fund details & source
Fund ID
805-1232339859
Reported beneficial owners
6
Minimum commitment
$1M
Form D file number
021-94265

Form ADV 714752 · Mar 27, 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.

SMITH BREEDEN SECURITIZED CREDIT OPPORTUNITIES MASTER LTD.Hedge Fund · Last reported Mar 27, 2013$13.2MGross asset value

Feeder funds

  • SMITH BREEDEN SECURITIZED CREDIT OPPORTUNITIES LLC
Fund administrator U.S. BANCORP FUND SERVICES, LLC MILWAUKEE, Wisconsin, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LTD CAMANA BAY, Cayman Islands
Custodian U.S. BANK NATIONAL ASSOCIATION BOSTON, Massachusetts, 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
Fund details & source
Fund ID
805-5704585323
Reported beneficial owners
9
Minimum commitment
$250K

Form ADV 714752 · Mar 27, 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.

PINE MOUNTAIN CDO II LTDSecuritized Asset Fund · Last reported Mar 27, 2013$8.43MGross asset value
Fund administrator DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian STATE STREET BANK & TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-5302677303
Reported beneficial owners
1
Minimum commitment
$250K

Form ADV 714752 · Mar 27, 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.

PINE MOUNTAIN CDO III LTDSecuritized Asset Fund · Last reported Mar 27, 2013$518KGross asset value
Fund administrator DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian STATE STREET BANK & TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-2409658666
Reported beneficial owners
1
Minimum commitment
$250K

Form ADV 714752 · Mar 27, 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.

Services & filing details

Most recent filing: Mar 27, 2013. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Hourly · Fixed · Performance-based

Principal office

280 SOUTH MANGUM STREET, SUITE 301
DURHAM, NC, 27701-3676, United States

CRD 104628

Filing source

Form ADV 714752 · Mar 27, 2013 · 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.