Investment adviser · CRD 157391

STONE LION L.P.

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 31, 2018

Regulatory AUM: $193M
Client accounts: 18
Employees: 4
Advisory professionals: 3

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	18	$192,821,210	100.0%

Filing source

Form ADV 1195119 · Mar 31, 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

9 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.

PERMAL STONE LION FUND LTD.Hedge Fund · Last reported Mar 31, 2018$62.5MGross asset value

Fund administrator CITCO FUND SERVICES (CURACAO) B.V. WILLEMSTAD, Other Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSE COOPERS LLP TORONTO, Canada

Custodian BANK OF AMERICA N.A. NEW YORK, New York, United States Related to adviser: No

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

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

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker J.P. MORGAN CLEARING CORP. 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

PRICEWATERHOUSE COOPERS LLP
PCAOB 271

GOLDMAN SACHS & CO. LLC
SEC 8-129

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

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source

Fund ID: 805-1166413848
Reported beneficial owners: 19
Minimum commitment: $100K

Form ADV 1195119 · Mar 31, 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.

SL PUERTO RICO FUND L.P.Hedge Fund · Last reported Mar 31, 2018$41.6MGross asset value

Feeder funds

SLPRD L.P.
SLPROF L.P.
SLPR OF II B L.P.

Fund administrator CITCO FUND SERVICES (CURACAO) B.V. WILLEMSTAD, Other Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

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

Prime broker J.P. MORGAN CLEARING CORP. 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

ERNST & YOUNG LLP
PCAOB 42

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

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source

Fund ID: 805-2432026488
Reported beneficial owners: 17
Minimum commitment: $10M
Form D file number: 021-234910
Form D file number: 021-234911

Form ADV 1195119 · Mar 31, 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.

LLSM II L.P.Hedge Fund · Last reported Mar 31, 2018$32.7MGross asset value

Feeder funds

Fund administrator CITCO FUND SERVICES (CURACO) B.V. WILLEMSTAD, Other Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

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

Prime broker J.P. MORGAN CLEARING CORP. 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

ERNST & YOUNG LLP
PCAOB 42

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

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source

Fund ID: 805-3844686640
Reported beneficial owners: 12
Minimum commitment: $10M
Form D file number: 021-235766
Form D file number: 021-235768

Form ADV 1195119 · Mar 31, 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.

STONE LION PORTFOLIO L.P.Hedge Fund · Last reported Mar 31, 2018$23.1MGross asset value

Feeder funds

Fund administrator CITCO FUND SERVICES (CURACAO) B.V. WILLEMSTAD, Other Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Auditor ERNST & YOUNG LTD. CAYMAN, Cayman Islands

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian JP MORGAN CHASE BANK NEW YORK, New York, United States Related to adviser: No

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

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker J.P. MORGAN CLEARING CORP. 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

ERNST & YOUNG LLP
PCAOB 42

ERNST & YOUNG LTD.
PCAOB 1655

GOLDMAN SACHS & CO. LLC
SEC 8-129

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

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source

Fund ID: 805-7892780998
Reported beneficial owners: 1
Minimum commitment: $5M
Form D file number: 021-126800
Form D file number: 021-134541

Form ADV 1195119 · Mar 31, 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.

SL PUERTO RICO FUND II L.P.Hedge Fund · Last reported Mar 31, 2018$14.6MGross asset value

Feeder funds

SLPROF II L.P.

Fund administrator CITCO FUND SERVICES (CURACAO) B.V. WILLEMSTAD, Other Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

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

Prime broker J.P. MORGAN CLEARING CORP. 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

ERNST & YOUNG LLP
PCAOB 42

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

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source

Fund ID: 805-6716935252
Reported beneficial owners: 4
Minimum commitment: $10M
Form D file number: 021-234913

Form ADV 1195119 · Mar 31, 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.

LLSM L.P.Hedge Fund · Last reported Mar 31, 2018$6.76MGross asset value

Feeder funds

Fund administrator CITCO FUND SERVICES (CURACO) B.V. WILLEMSTAD, Other Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

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

Prime broker J.P. MORGAN CLEARING CORP. 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

ERNST & YOUNG LLP
PCAOB 42

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

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source

Fund ID: 805-7465797587
Reported beneficial owners: 1
Minimum commitment: $10M
Form D file number: 021-198947
Form D file number: 021-198948

Form ADV 1195119 · Mar 31, 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.

P STONE LION IEHedge Fund · Last reported Mar 31, 2018$4.57MGross asset value

Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED CORK, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PWC DUBLIN, Ireland

Custodian BNY MELLON TRUST COMPANY (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

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

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker J.P. MORGAN CLEARING CORP. 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

PWC
PCAOB 1366

GOLDMAN SACHS & CO. LLC
SEC 8-129

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

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source

Fund ID: 805-5275387526
Reported beneficial owners: 4
Minimum commitment: $100K

Form ADV 1195119 · Mar 31, 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: Mar 31, 2018. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

622 THIRD AVENUE, 6TH FLOOR
NEW YORK, NY, 10017, United States

CRD 157391

Filing source

Form ADV 1195119 · Mar 31, 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.