Investment adviser · CRD 137922

SPENCER CAPITAL MANAGEMENT, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 30, 2016

Regulatory AUM
$75.3M
Form ADV · Item 5.F
Client accounts
2
Accounts, not individual clients
Employees
2
Reported in this filing
Advisory professionals
1
Investment advisory functions

Private funds & service providers

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

SPENCER CAPITAL FUND, LLCHedge Fund · Last reported Mar 30, 2016$11.5MGross asset value

Form D fundraising filings

Spencer Capital Fund LLC

Fund administrator MICHAEL J. LICCAR & CO., LLC CPAS 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 UBS FINANCIAL SERVICES INC. CHICAGO, Illinois, United States Related to adviser: No
Prime broker UBS FINANCIAL SERVICES INC. CHICAGO, Illinois, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

UBS FINANCIAL SERVICES INC.
SEC 8-16267

UBS FINANCIAL SERVICES INC.
CRD 8174 · SEC 8-16267

Fund details & source
Fund ID
805-8324090364
Reported beneficial owners
12
Minimum commitment
$50K
Form D file number
021-159685

Form ADV 986098 · Mar 30, 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.

Services & filing details

Most recent filing: Mar 30, 2016. View historical filings

Reported services

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

Compensation

Fixed · Performance-based

Principal office

79 MADISON AVE, 15TH FLOOR
NEW YORK, NY, 10011, United States

CRD 137922

Filing source

Form ADV 986098 · Mar 30, 2016 · 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.