Investment adviser · CRD 301868

SUNDANCE BAY

Investment adviser filing (IA)

SUNDANCE BAY INVESTMENT MANAGER, LLC

SALT LAKE CITY, UT, United States · Form ADV filed Mar 31, 2026

Regulatory AUM: $2.09B
Client accounts: 8
Employees: 69
Advisory professionals: 43

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	7	$2,085,636,125	99.8%
Government entities	1	$4,999,626	0.2%

Filing source

Form ADV 2080300 · Mar 31, 2026 · 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

7 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.

SUNDANCE DEBT PARTNERS, LPReal Estate Fund · Last reported Oct 13, 2022$512MGross asset value

Form D fundraising filings

Sundance Debt Partners, LP

Fund administrator UMB FUND SERVICES OGDEN, Utah, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP IRVINE, California, United States

Custodian WELLS FARGO BANK, N.A. SALT LAKE CITY, Utah, United States Related to adviser: No

Marketer ARETE WEALTH MANAGEMENT, LLC CHICAGO, Illinois, United States Related to adviser: No

Marketer BRT GLOBAL 4 LEMON ST, EIN VERED, Israel Related to adviser: No

Marketer CALAMAR FINANCIAL GROUP, LLC WHEATFIELD, New York, United States Related to adviser: No

Marketer OLD CITY SECURITIES LLC CEDARHURST, New York, United States Related to adviser: No

Marketer ORCHARD SECURITIES, LLC PLEASANT GROVE, Utah, United States Related to adviser: No

Marketer RAINMAKER SECURITIES, LLC LOS ANGELES, California, United States Related to adviser: No

Marketer SUNBELT SECURITIES HOUSTON, Texas, 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

KPMG, LLP
PCAOB 185

ARETE WEALTH MANAGEMENT, LLC
CRD 44856 · SEC 8-50854

CALAMAR FINANCIAL GROUP, LLC
CRD 283992 · SEC 8-69777

OLD CITY SECURITIES LLC
CRD 171910 · SEC 8-69488

ORCHARD SECURITIES, LLC
CRD 133378 · SEC 8-66719

RAINMAKER SECURITIES, LLC
CRD 132995 · SEC 8-66667

SUNBELT SECURITIES
CRD 42180 · SEC 801-71479

Fund details & source

Fund ID: 805-4527481289
Reported beneficial owners: 1,390
Minimum commitment: $250K
Form D file number: 021-323618

Form ADV 1680452 · Oct 13, 2022 · 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.

SDP REIT, LLCReal Estate Fund · Last reported Oct 13, 2022$512MGross asset value

Form D fundraising filings

SDP REIT, LLC

Fund administrator UMB FUND SERVICES OGDEN, Utah, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP IRVINE, California, United States

Custodian COLORADO FEDERAL SAVINGS BANK GREENWOOD VILLAGE, Colorado, United States Related to adviser: No

Custodian FORTIS PRIVATE BANK MIDVALE, Utah, United States Related to adviser: No

Custodian WELLS FARGO BANK, N.A. SALT LAKE CITY, Utah, United States Related to adviser: No

Marketer H & L EQUITIES, LLC ATLANTA, Georgia, 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

KPMG LLP
PCAOB 185

H & L EQUITIES, LLC
CRD 113794 · SEC 8-53371

Fund details & source

Fund ID: 805-1623118245
Reported beneficial owners: 126
Minimum commitment: $1K
Form D file number: 021-329935

Form ADV 1680452 · Oct 13, 2022 · 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.

SUNDANCE BAY INCOME AND GROWTH OP, LPReal Estate Fund · Last reported Oct 13, 2022$148MGross asset value

Form D fundraising filings

Sundance Bay Income & Growth OP, LP

Fund administrator UMB FUND SERVICES OGDEN, Utah, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP IRVINE, California, United States

Custodian KEYBANK NATIONAL ASSOCIATION SEATTLE, Washington, United States Related to adviser: No

Marketer OLD CITY SECURITIES LLC CEDARHURST, New York, United States Related to adviser: No

Marketer RAINMAKER SECURITIES, LLC LOS ANGELES, California, 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

KPMG, LLP
PCAOB 185

OLD CITY SECURITIES LLC
CRD 171910 · SEC 8-69488

RAINMAKER SECURITIES, LLC
CRD 132995 · SEC 8-66667

Fund details & source

Fund ID: 805-1286387455
Reported beneficial owners: 64
Minimum commitment: $250K
Form D file number: 021-393115

Form ADV 1680452 · Oct 13, 2022 · 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.

SUNDANCE BAY INCOME AND GROWTH REIT, LLCReal Estate Fund · Last reported Oct 13, 2022$100MGross asset value

Fund administrator UMB FUND SERVICES OGDEN, Utah, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP IRVINE, California, United States

Custodian KEYBANK NATIONAL ASSOCIATION SEATTLE, Washington, United States Related to adviser: No

Marketer H & L EQUITIES, LLC ATLANTA, Georgia, 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

KPMG LLP
PCAOB 185

H & L EQUITIES, LLC
CRD 113794 · SEC 8-53371

Fund details & source

Fund ID: 805-3953465104
Reported beneficial owners: 126
Minimum commitment: $1K

Form ADV 1680452 · Oct 13, 2022 · 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.

SUNDANCE BAY INCOME AND GROWTH FUND, LPReal Estate Fund · Last reported Oct 13, 2022$100MGross asset value

Form D fundraising filings

Sundance Bay Income & Growth Fund, LP

Fund administrator UMB FUND SERVICES OGDEN, Utah, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP IRVINE, California, United States

Custodian KEYBANK NATIONAL ASSOCIATION SEATTLE, Washington, United States Related to adviser: No

Marketer CALAMAR FINANCIAL GROUP, LLC WHEATFIELD, New York, United States Related to adviser: No

Marketer OLD CITY SECURITIES LLC CEDARHURST, New York, United States Related to adviser: No

Marketer RAINMAKER SECURITIES, LLC LOS ANGELES, California, 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

KPMG, LLP
PCAOB 185

CALAMAR FINANCIAL GROUP, LLC
CRD 283992 · SEC 8-69777

OLD CITY SECURITIES LLC
CRD 171910 · SEC 8-69488

RAINMAKER SECURITIES, LLC
CRD 132995 · SEC 8-66667

Fund details & source

Fund ID: 805-4668966333
Reported beneficial owners: 252
Minimum commitment: $250K
Form D file number: 021-393119

Form ADV 1680452 · Oct 13, 2022 · 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.

SDP FINANCIAL 2020, LPReal Estate Fund · Last reported Oct 13, 2022$34MGross asset value

Auditor KPMG, LLP IRVINE, California, United States

Custodian WELLS FARGO BANK, N.A. SALT LAKE CITY, Utah, 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

KPMG, LLP
PCAOB 185

Fund details & source

Fund ID: 805-5236316187
Reported beneficial owners: 1
Minimum commitment: $0

Form ADV 1680452 · Oct 13, 2022 · 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.

SUNDANCE BAY DEBT OPPORTUNITY FUND, L.P.Real Estate Fund · Last reported Oct 13, 2022$0Gross asset value

Fund administrator UMB FUND SERVICES OGDEN, Utah, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP IRVINE, California, United States

Custodian WELLS FARGO BANK, N.A. SALT LAKE CITY, Utah, United States Related to adviser: No

Marketer CALAMAR FINANCIAL GROUP, LLC WHEATFIELD, New York, United States Related to adviser: No

Marketer OLD CITY SECURITIES LLC CEDARHURST, 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

KPMG, LLP
PCAOB 185

CALAMAR FINANCIAL GROUP, LLC
CRD 283992 · SEC 8-69777

OLD CITY SECURITIES LLC
CRD 171910 · SEC 8-69488

Fund details & source

Fund ID: 805-9983427533
Reported beneficial owners: 1
Minimum commitment: $250K

Form ADV 1680452 · Oct 13, 2022 · 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, 2026. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

1240 EAST 2100 SOUTH, SUITE 300
SALT LAKE CITY, UT, 84106-2817, United States

CRD 301868

Filing source

Form ADV 2080300 · Mar 31, 2026 · 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.