SUMMIT WATER CAPITAL – investment adviser, $33.5M 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
Other clients	Fewer than 5	$27,000,000	80.6%
Individuals	6	$6,500,000	19.4%

Filing source

Form ADV 1146783 · Oct 17, 2017 · 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.

SUMMIT MASTER WATER EQUITY FUND L.P.Hedge Fund · Last reported Feb 3, 2016$42.8MGross asset value

Feeder funds

SUMMIT OFFSHORE WATER EQUITY FUND LTD.
SUMMIT WATER EQUITY FUND L.P.

Fund administrator ALPS INC. BELLEVUE, Washington, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KMPG BEVERLY HILLS, California, United States

Auditor KMPG (CAYMAN) GEORGE TOWN, Cayman Islands

Custodian UBS SECURITIES LLC SAN FRANCISCO, California, United States Related to adviser: No

Marketer HAMERSLEY PARTNERS PORTLAND, Oregon, United States Related to adviser: No

Marketer MADDEN ASSET MANAGEMENT DALLAS, Texas, United States Related to adviser: No

Marketer RM CAPITAL MANAGEMENT PFÄFFIKON, Switzerland Related to adviser: No

Prime broker UBS SECURITIES LLC SAN FRANCISCO, California, United States

Provider details

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

UBS SECURITIES LLC
SEC 8-22651

MADDEN ASSET MANAGEMENT
CRD 18389 · SEC 801-63277

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source

Fund ID: 805-1112874024
Reported beneficial owners: 80
Minimum commitment: $1M
Form D file number: 021-1231850
Form D file number: 021-1320075

Form ADV 975641 · Feb 3, 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.

SUMMIT WATER DEVELOPMENT GROUP LLCSecuritized Asset Fund · Last reported May 22, 2017$21MGross asset value

Feeder funds

SUMMIT WATER DEVELOPMENT LLC
SUMMIT WATER DEVELOPMENT L.P.

Fund administrator ALPS INC BELLEVUE, Washington, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor HALL CHADWICK SYDNEY, NEW SOUTH WALES, Australia

Auditor KMPG BEVERLY HILLS, California, United States

Custodian AUSTRALIAN EXECUTOR TRUSTEES LIMITED SYDNEY, NEW SOUTH WALES, Australia Related to adviser: No

Custodian U.S. BANK NATIONAL ASSOCIATION LOS ANGELES, California, United States Related to adviser: No

Marketer CAPLINK SECURITIES, INC PALOS VERDES ESTATES, California, United States Related to adviser: No

Marketer GROWTH CAPITAL SERVICES, INC. SAN FRANCISCO, California, United States Related to adviser: No

Marketer HATFIELD LIPTAK ADVISERS SYDNEY, NSW, Australia Related to adviser: No

Marketer MADDEN ASSET MANAGEMENT DALLAS, Texas, United States Related to adviser: No

Marketer MONITOR CAPITAL LLC NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

CAPLINK SECURITIES, INC
CRD 130702 · SEC 8-66379

GROWTH CAPITAL SERVICES, INC.
CRD 124658 · SEC 8-65705

MADDEN ASSET MANAGEMENT
CRD 18389 · SEC 801-63277

MONITOR CAPITAL LLC
CRD 146087 · SEC 8-67782

Fund details & source

Fund ID: 805-7331164102
Reported beneficial owners: 60
Minimum commitment: $50M
Form D file number: 021-1429533
Form D file number: 021-1462778

Form ADV 1114878 · May 22, 2017 · 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: Oct 17, 2017. View historical filings

Reported services

Individual portfolio management

Compensation

Percentage of assets

Principal office

4225 EXECUTIVE SQUARE, SUITE 1070
LA JOLLA, CA, 92037, United States

CRD 104558

Filing source

Form ADV 1146783 · Oct 17, 2017 · 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.