Investment adviser · CRD 163239

STEPHENS INVESTMENT MANAGEMENT, LLC

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.

SAN FRANCISCO, CA, United States · Form ADV filed Mar 28, 2013

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

Private funds & service providers

4 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.

ORPHAN FUND, LPHedge Fund · Last reported Mar 28, 2013$82.9MGross asset value
Fund administrator CONIFER FUND SERVICES, LLC SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ROTHSTEIN, KASS AND COMPANY SAN FRANCISCO, California, United States
Custodian UBS FINANCIAL SERVICES INC. SAN FRANCISCO, California, United States Related to adviser: No
Prime broker UBS FINANCIAL SERVICES INC. SAN FRANCISCO, California, 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
805-6781633738
Reported beneficial owners
62
Minimum commitment
$1M
Form D file number
021-93669

Form ADV 721157 · Mar 28, 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.

NANOCAP FUND, LPHedge Fund · Last reported Mar 30, 2012$21.3MGross asset value

Form D fundraising filings

NANOCAP FUND LP

Feeder funds

  • NANOCAP OFFSHORE FUND LTD
Fund administrator CONIFER FUND SERVICES, LLC SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ROTHSTEIN, KASS AND COMPANY SAN FRANCISCO, California, United States
Custodian UBS FINANCIAL SERVICES INC. SAN FRANCISCO, California, United States Related to adviser: No
Prime broker UBS FINANCIAL SERVICES INC. SAN FRANCISCO, California, 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
805-6302543651
Reported beneficial owners
36
Minimum commitment
$1M
Form D file number
021-54313

Form ADV 629336 · Mar 30, 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.

STEPHENS INDUSTRY II, LPHedge Fund · Last reported Mar 30, 2012$8.46MGross asset value

Form D fundraising filings

Stephens Industry II, L.P.

Fund administrator CONIFER FUND SERVICES, LLC SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian UBS FINANCIAL SERVICES INC. SAN FRANCISCO, California, United States Related to adviser: No
Prime broker UBS FINANCIAL SERVICES INC. SAN FRANCISCO, California, United States
Provider details
Annual audit
No
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
805-4544226984
Reported beneficial owners
1
Minimum commitment
$0
Form D file number
021-135607

Form ADV 629336 · Mar 30, 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.

STEPHENS INDUSTRY, LPHedge Fund · Last reported Mar 30, 2012$4.4MGross asset value

Form D fundraising filings

Stephens Industry, L.P.

Fund administrator CONIFER FUND SERVICES, LLC SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian UBS FINANCIAL SERVICES INC. SAN FRANCISCO, California, United States Related to adviser: No
Prime broker UBS FINANCIAL SERVICES INC. SAN FRANCISCO, California, United States
Provider details
Annual audit
No
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
805-1055683080
Reported beneficial owners
1
Minimum commitment
$0
Form D file number
021-129458

Form ADV 629336 · Mar 30, 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.

Services & filing details

Most recent filing: Mar 28, 2013. View historical filings

Reported services

Not reported in these imported fields

Compensation

Not reported in these imported fields

Principal office

ONE FERRY BUILDING, SUITE 255
SAN FRANCISCO, CA, 94111, United States

CRD 163239

Filing source

Form ADV 721157 · Mar 28, 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.