Investment adviser · CRD 107655

SMITH WHILEY & CO

Exempt reporting adviser (ERA)

Exempt reporting advisers use a shorter Form ADV report. Some adviser-level figures are not reported; fund disclosures appear below when available.

SMITH WHILEY & COMPANY

BLOOMFIELD, CT, United States · Form ADV filed Mar 30, 2021

Adviser-level assets, account counts and staffing figures are unavailable in this filing. View the reported fund disclosures below →

Private funds & service providers

3 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.

SW PELHAM FUND III, L.P.Private Equity Fund · Last reported Mar 30, 2021$0Gross asset value
Fund administrator PEF SERVICES, LLC WEST ORANGE, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM US LLP STAMFORD, Connecticut, United States
Custodian LIBERTY BANK MIDDLETOWN, Connecticut, United States Related to adviser: No
Marketer POTOMAC CAPITAL MARKETS, LLC FREDERICK, Maryland, 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

RSM US LLP
PCAOB 49

POTOMAC CAPITAL MARKETS, LLC
CRD 39800 · SEC 8-48848

Fund details & source
Fund ID
805-1837641842
Reported beneficial owners
13
Minimum commitment
$3M
Form D file number
021-92641

Form ADV 1525486 · Mar 30, 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.

LIQUIDATING TRUST OF SW PELHAM FUND, L.P.Private Equity Fund · Last reported Mar 29, 2017$1.98MGross asset value
Auditor WHITTLESEY AND HADLEY PC HARTFORD, Connecticut, United States
Custodian LIBERTY BANK MIDDLETOWN, Connecticut, 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
805-6281469263
Reported beneficial owners
5
Minimum commitment
$5M

Form ADV 1098911 · Mar 29, 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.

LIQUIDATING TRUST OF SW PELHAM FUND II, L.P.Private Equity Fund · Last reported Mar 29, 2017$4.8KGross asset value
Auditor WHITTLESEY AND HADLEY PC HARTFORD, Connecticut, United States
Custodian LIBERTY BANK MIDDLETOWN, Connecticut, 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
805-1862770831
Reported beneficial owners
9
Minimum commitment
$5M
Form D file number
021-52985

Form ADV 1098911 · Mar 29, 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 30, 2021. View historical filings

Reported services

Not reported in these imported fields

Compensation

Not reported in these imported fields

Principal office

24 BEAR RIDGE DRIVE
BLOOMFIELD, CT, 06002, United States

CRD 107655

Filing source

Form ADV 1525486 · Mar 30, 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.