Investment adviser · CRD 137442

STARK INVESTMENTS

Investment adviser filing (IA)

STARK & ROTH LLC

MILWAUKEE, WI, United States · Form ADV filed Jun 6, 2018

Regulatory AUM: $306M
Client accounts: 25
Employees: 15
Advisory professionals: 6

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	16	$305,708,895	100.0%
Individuals	Fewer than 5	Not reported	Not reported
High-net-worth individuals	Fewer than 5	Not reported	Not reported
Banks & thrifts	Fewer than 5	Not reported	Not reported
Retirement plans	Fewer than 5	Not reported	Not reported
Charities	Fewer than 5	Not reported	Not reported
Government entities	Fewer than 5	Not reported	Not reported
Other investment advisers	Fewer than 5	Not reported	Not reported
Insurance companies	Fewer than 5	Not reported	Not reported
Sovereign wealth & foreign institutions	Fewer than 5	Not reported	Not reported
Corporations & businesses	Fewer than 5	Not reported	Not reported

Filing source

Form ADV 1219252 · Jun 6, 2018 · 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

20 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.

STARK SELECT ASSET MASTER LTD.Hedge Fund · Last reported Jun 6, 2018$10.9MGross asset value

Feeder funds

SHEPHERD SELECT ASSET LTD.
STARK SELECT ASSET FUND LLC

Fund administrator U.S. BANCORP FUND SERVICES, LLC MILWAUKEE, Wisconsin, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor BAKER TILLY VIRCHOW KRAUSE, LLP MILWAUKEE, Wisconsin, United States

Custodian U.S. BANK NATIONAL ASSOCIATION CINCINNATI, Ohio, 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

BAKER TILLY VIRCHOW KRAUSE, LLP
PCAOB 23

Fund details & source

Fund ID: 805-2453914527
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 1219252 · Jun 6, 2018 · 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.

STARK GLOBAL OPPORTUNITIES MASTER FUND LTD.Hedge Fund · Last reported Jun 6, 2018$6.7MGross asset value

Feeder funds

Fund administrator U.S. BANCORP FUND SERVICES, LLC MILWAUKEE, Wisconsin, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor BAKER TILLY VIRCHOW KRAUSE, LLP MILWAUKEE, Wisconsin, United States

Custodian U.S. BANK NATIONAL ASSOCIATION CINCINNATI, Ohio, 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

BAKER TILLY VIRCHOW KRAUSE, LLP
PCAOB 23

Fund details & source

Fund ID: 805-9228886693
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 1219252 · Jun 6, 2018 · 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.

STARK MASTER FUND LTD.Hedge Fund · Last reported Jun 6, 2018$3.5MGross asset value

Feeder funds

SHEPHERD GUARDIAN FUND, LTD.
SHEPHERD INVESTMENTS INTERNATIONAL, LTD.
STARK INVESTMENTS LIMITED PARTNERSHIP

Fund administrator U.S. BANCORP FUND SERVICES, LLC MILWAUKEE, Wisconsin, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor BAKER TILLY VIRCHOW KRAUSE, LLP MILWAUKEE, Wisconsin, United States

Custodian J.P. MORGAN CLEARING CORP. BROOKLYN, New York, United States Related to adviser: No

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

Custodian U.S. BANK NATIONAL ASSOCIATION CINCINNATI, Ohio, 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

BAKER TILLY VIRCHOW KRAUSE, LLP
PCAOB 23

J.P. MORGAN CLEARING CORP.
SEC 8-43724

J.P. MORGAN SECURITIES LLC
SEC 8-35008

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

Fund details & source

Fund ID: 805-5626902747
Reported beneficial owners: 3
Minimum commitment: $0

Form ADV 1219252 · Jun 6, 2018 · 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.

STARK ASIA MASTER FUND LTD.Hedge Fund · Last reported Jun 6, 2018$2.93MGross asset value

Feeder funds

STARK ASIA FUND LP
STARK ASIA FUND LTD.

Auditor BAKER TILLY VIRCHOW KRAUSE, LLP MILWAUKEE, Wisconsin, United States

Custodian U.S. BANK NATIONAL ASSOCIATION CINCINNATI, Ohio, 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

BAKER TILLY VIRCHOW KRAUSE, LLP
PCAOB 23

Fund details & source

Fund ID: 805-3217487093
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 1219252 · Jun 6, 2018 · 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.

STARK QIC SPECIALTY LTD.Hedge Fund · Last reported Jun 6, 2018$693KGross asset value

Auditor BAKER TILLY VIRCHOW KRAUSE, LLP MILWAUKEE, Wisconsin, United States

Custodian U.S. BANK NATIONAL ASSOCIATION CINCINNATI, Ohio, 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

BAKER TILLY VIRCHOW KRAUSE, LLP
PCAOB 23

Fund details & source

Fund ID: 805-7766743511
Reported beneficial owners: 3
Minimum commitment: $0
Form D file number: 021-9999999999

Form ADV 1219252 · Jun 6, 2018 · 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.

DEEPHAVEN GLOBAL MULTI-STRATEGY MASTER FUND LPHedge Fund · Last reported Jun 6, 2018$384KGross asset value

Feeder funds

DEEPHAVEN GLOBAL MULTI-STRATEGY FUND LIMITED
DEEPHAVEN GLOBAL MULTI-STRATEGY FUND LLC

Fund administrator MITSUBISHI UFJ TRUST & BANK (FORMERLY BUTTERFIELD FUND SERVICES (DUBLIN) LIMITED) DUBLIN 2, Ireland Investor statements: No (provided to no investors) Related to adviser: No

Auditor BAKER TILLY VIRCHOW KRAUSE, LLP MILWAUKEE, Wisconsin, United States

Custodian U.S. BANK NATIONAL ASSOCIATION CINCINNATI, Ohio, 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

BAKER TILLY VIRCHOW KRAUSE, LLP
PCAOB 23

Fund details & source

Fund ID: 805-4859418431
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 1219252 · Jun 6, 2018 · 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.

DEEPHAVEN EVENT TRADING LTD.Hedge Fund · Last reported Jun 6, 2018$112KGross asset value

Feeder funds

DEEPHAVEN EVENT FUND LLC
DEEPHAVEN EVENT FUND LTD.

Auditor BAKER TILLY VIRCHOW KRAUSE, LLP MILWAUKEE, Wisconsin, United States

Custodian U.S. BANK NATIONAL ASSOCIATION CINCINNATI, Ohio, 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

BAKER TILLY VIRCHOW KRAUSE, LLP
PCAOB 23

Fund details & source

Fund ID: 805-9945713407
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 1219252 · Jun 6, 2018 · 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: Jun 6, 2018. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

735 NORTH WATER STREET, SUITE 790
MILWAUKEE, WI, 53202, United States

CRD 137442

Filing source

Form ADV 1219252 · Jun 6, 2018 · 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.