Investment adviser · CRD 134835

SORIN CAPITAL MANAGEMENT, LLC

Investment adviser filing (IA)

STAMFORD, CT, United States · Form ADV filed Mar 29, 2019

Regulatory AUM: $1.16B
Client accounts: 15
Employees: 13
Advisory professionals: 8

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
Pooled investment vehicles	6	$659,152,000	56.6%
Investment companies	1	$227,255,000	19.5%
Banks & thrifts	Fewer than 5	$161,513,000	13.9%
Retirement plans	Fewer than 5	$107,333,000	9.2%
Charities	Fewer than 5	$6,086,000	0.5%
High-net-worth individuals	5	$3,194,000	0.3%

Filing source

Form ADV 1297770 · 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

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.

SORIN ACTIVE TRADING MASTER FUND LTD.Hedge Fund · Last reported Mar 29, 2019$255MGross asset value

Feeder funds

Fund administrator U.S BANCORP FUND SERVICES, LLC HACKENSACK, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG NEW YORK, New York, United States

Custodian BANK OF AMERICA N.A. CHICAGO, Illinois, United States Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian US BANK NATIONAL ASSOCIATION SAINT PAUL, Minnesota, United States Related to adviser: No

Custodian WELLS FARGO BANK NATIONAL ASSOCIATION COLUMBIA, Maryland, United States Related to adviser: No

Prime broker J.P. MORGAN SECURITIES 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

KPMG
PCAOB 185

J.P. MORGAN SECURITIES LLC
SEC 8-35008

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

Fund details & source

Fund ID: 805-4400755570
Reported beneficial owners: 18
Minimum commitment: $5M
Form D file number: 021-280633
Form D file number: 021-282006

Form ADV 1297770 · 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.

SORIN NL FUND LPHedge Fund · Last reported Mar 29, 2019$236MGross asset value

Form D fundraising filings

Sorin NL Fund, L.P.

Fund administrator U.S BANCORP FUND SERVICES, LLC HACKENSACK, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG NEW YORK, New York, United States

Custodian BANK OF AMERICA N.A. CHICAGO, Illinois, United States Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian US BANK NATIONAL ASSOCIATION SAINT PAUL, Minnesota, United States Related to adviser: No

Custodian WELLS FARGO BANK NATIONAL ASSOCIATION COLUMBIA, Maryland, United States Related to adviser: No

Custodian WELLS FARGO PRIME SERVICES, LLC NY, New York, United States Related to adviser: No

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Prime broker WELLS FARGO PRIME SERVICES, 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

KPMG
PCAOB 185

J.P. MORGAN SECURITIES LLC
SEC 8-35008

WELLS FARGO PRIME SERVICES, LLC
SEC 8-66677

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677

Fund details & source

Fund ID: 805-6980053483
Reported beneficial owners: 3
Minimum commitment: $5M
Form D file number: 021-151342

Form ADV 1297770 · 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.

SORIN ALPHA REAL ESTATE MASTER FUND LTDHedge Fund · Last reported Mar 29, 2016$302MGross asset value

Feeder funds

Fund administrator U.S. BANCORP FUND SERVICES, LLC HACKENSACK, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG NEW YORK, New York, United States

Custodian BANK OF AMERICA, N.A. CHICAGO, Illinois, United States Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian US BANK NATIONAL ASSOCIATION SAINT PAUL, Minnesota, United States Related to adviser: No

Custodian WELLS FARGO BANK NATIONAL ASSOCIATION COLUMBIA, Maryland, United States Related to adviser: No

Custodian WELLS FARGO PRIME SERVICES, LLC NY, New York, United States Related to adviser: No

Marketer ELEVATION, LLC CHARLOTTE, North Carolina, United States Related to adviser: No

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Prime broker WELLS FARGO PRIME SERVICES, 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: Yes

J.P. MORGAN SECURITIES LLC
SEC 8-35008

WELLS FARGO PRIME SERVICES, LLC
SEC 8-66677

ELEVATION, LLC
CRD 140341 · SEC 8-67306

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677

Fund details & source

Fund ID: 805-7892313365
Reported beneficial owners: 12
Minimum commitment: $5M
Form D file number: 021-194694
Form D file number: 021-194698

Form ADV 977383 · Mar 29, 2016 · 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.

SORIN TACTICAL REAL ESTATE MASTER FUND LTDHedge Fund · Last reported Nov 14, 2014$41.1MGross asset value

Feeder funds

Auditor ROTHSTEIN KASS & COMPANY, P.C. ROSELAND, New Jersey, United States

Custodian BANK OF AMERICA, N.A. CHICAGO, Illinois, United States Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian WELLS FARGO BANK NATIONAL ASSOCIATION COLUMBIA, Maryland, 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

J.P. MORGAN SECURITIES LLC
SEC 8-35008

Fund details & source

Fund ID: 805-2290633066
Reported beneficial owners: 10
Minimum commitment: $5M
Form D file number: 021-132688
Form D file number: 021-132689

Form ADV 854431 · Nov 14, 2014 · 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.

SORIN MASTER FUND, LTD.Hedge Fund · Last reported Oct 1, 2012$19.9MGross asset value

Feeder funds

SORIN CL FUND LP
SORIN CL OFFSHORE FUND LTD
SORIN FUND, L.P.
SORIN OFFSHORE FUND, LTD.
SORIN PLAN OFFSHORE FUND, LTD.

Fund administrator GLOBEOP FINANCIAL SERVICES LLC HARRISON, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ROTHSTEIN KASS & COMPANY, P.C. ROSELAND, New Jersey, United States

Custodian BANK OF AMERICA, N.A CHICAGO, Illinois, 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: 805-1303602021
Reported beneficial owners: 130
Minimum commitment: $5M
Form D file number: 021-109346
Form D file number: 021-134393
Form D file number: 021-134394
Form D file number: 021-70640
Form D file number: 021-79485

Form ADV 672542 · Oct 1, 2012 · 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.

SORIN REIT VALUE FUND L.P.Hedge Fund · Last reported Mar 29, 2016$280KGross asset value

Custodian WELLS FARGO PRIME SERVICES, LLC NEW YORK, New York, United States Related to adviser: No

Prime broker WELLS FARGO PRIME SERVICES, LLC NEW YORK, New York, United States

Provider details

Annual audit: No
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

WELLS FARGO PRIME SERVICES, LLC
SEC 8-66677

WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677

Fund details & source

Fund ID: 805-3038068295
Reported beneficial owners: 3
Minimum commitment: $500K

Form ADV 977383 · Mar 29, 2016 · 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.

SORIN CDO VI LTD.Securitized Asset Fund · Last reported Nov 14, 2014$0Gross asset value

Fund administrator WELLS FARGO BANK, NATIONAL ASSOCIATION COLUMBIA, Maryland, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian WELLS FARGO BANK, NATIONAL ASSOCIATION COLUMBIA, Maryland, 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: 805-9874652192
Reported beneficial owners: 1
Minimum commitment: $200K

Form ADV 854431 · Nov 14, 2014 · 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

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

Compensation

Percentage of assets · Performance-based

Principal office

84 WEST PARK PLACE, 5TH FLOOR
STAMFORD, CT, 06901, United States

CRD 134835

Filing source

Form ADV 1297770 · 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.