STONE BEACH INVESTMENT MANAGEMENT, LLC – investment adviser, $20.8M regulatory AUM (Form ADV)

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
Investment companies	1	$20,848,112	100.0%

Filing source

Form ADV 1638862 · Apr 5, 2022 · 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

2 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.

STONE BEACH SPECIAL OPPORTUNITY FUND LLCHedge Fund · Last reported Apr 1, 2015$13.9MGross asset value

Form D fundraising filings

Stone Beach Special Opportunity Fund LLC

Fund administrator FAIRVIEW INVESTMENT SERVICES LLC RALEIGH, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor BDO USA LLP NEW YORK, New York, United States

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Marketer SILBER BENNETT FINANCIAL, INC. SALT LAKE CITY, Utah, United States Related to adviser: No

Prime broker CITIGROUP GLOBAL MARKETS INC. 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

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

SILBER BENNETT FINANCIAL, INC.
CRD 156435

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

Fund details & source

Fund ID: 805-6436302407
Reported beneficial owners: 20
Minimum commitment: $100K
Form D file number: 021-170692

Form ADV 886530 · Apr 1, 2015 · 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.

THE STONE BEACH FUNDHedge Fund · Last reported Mar 31, 2021$4.67MGross asset value

Form D fundraising filings

Stone Beach Fund

Fund administrator FAIRVIEW INVESTMENT SERVICES LLC RALEIGH, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor BBD, LLP PHILADELPHIA, Pennsylvania, United States

Custodian SANCTUARY SECURITIES, INC. NEW YORK, New York, United States Related to adviser: No

Custodian STONEX FINANCIAL INC. WINTER PARK, Florida, United States Related to adviser: No

Marketer CREWE CAPITAL, LLC SALT LAKE CITY, Utah, United States Related to adviser: No

Prime broker SANCTUARY SECURITIES, INC. NEW YORK, New York, United States

Prime broker STONEX FINANCIAL INC. WINTER PARK, Florida, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

BBD, LLP
PCAOB 552

SANCTUARY SECURITIES, INC.
SEC 8-22752

STONEX FINANCIAL INC.
SEC 8-51269

CREWE CAPITAL, LLC
CRD 152527 · SEC 8-68460

SANCTUARY SECURITIES, INC.
CRD 205 · SEC 8-22752

STONEX FINANCIAL INC.
CRD 45993 · SEC 8-51269

Fund details & source

Fund ID: 805-2078656622
Reported beneficial owners: 3
Minimum commitment: $500K
Form D file number: 021-226804

Form ADV 1523324 · Mar 31, 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.

Services & filing details

Most recent filing: Apr 5, 2022. View historical filings

Reported services

Investment company portfolio management

Compensation

Percentage of assets

Principal office

59 SNOWBERRY LANE
NEW CANAAN, CT, 06840, United States

CRD 163163

Filing source

Form ADV 1638862 · Apr 5, 2022 · 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.