Investment adviser · CRD 105616

THE BOSTON COMPANY ASSET MANAGEMENT LLC

Investment adviser filing (IA)

BOSTON, MA, United States · Form ADV filed Nov 15, 2017

Regulatory AUM: $20.3B
Client accounts: 207
Employees: 149
Advisory professionals: 81

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	19	$6,468,723,579	31.9%
Government entities	41	$4,498,391,871	22.2%
Retirement plans	60	$3,976,761,761	19.6%
Pooled investment vehicles	27	$2,838,462,424	14.0%
Sovereign wealth & foreign institutions	1	$1,539,826,370	7.6%
Insurance companies	7	$484,713,320	2.4%
Corporations & businesses	18	$468,707,853	2.3%
Other clients	2	$7,966,716	0.0%
High-net-worth individuals	32	$4,665,661	0.0%

Filing source

Form ADV 1149465 · Nov 15, 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

15 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.

HARBORWALK OPPORTUNISTIC APPRECIATION FUND, LPHedge Fund · Last reported Nov 15, 2017$111MGross asset value

Fund administrator SEI GLOBAL SERVICES, INC. OAKS, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG GEORGETOWN, Cayman Islands

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

Marketer MBSC SECURITIES CORPORATION NEW YORK CITY, New York, United States Related to adviser: Yes

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

Provider details

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

KPMG
PCAOB 1323

GOLDMAN SACHS & CO. LLC
SEC 8-129

MBSC SECURITIES CORPORATION
CRD 231 · SEC 801-54739

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

Fund details & source

Fund ID: 805-4511685821
Reported beneficial owners: 9
Minimum commitment: $250K
Form D file number: 021-241802

Form ADV 1149465 · Nov 15, 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.

HARBORWALK OPPORTUNISTIC ALPHA FUND LPHedge Fund · Last reported Nov 15, 2017$68.4MGross asset value

Fund administrator SEI GLOBAL SERVICES, INC. OAKS, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG GEORGETOWN, Cayman Islands

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

Marketer MBSC SECURITIES CORPORATION NEW YORK CITY, New York, United States Related to adviser: Yes

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

Provider details

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

KPMG
PCAOB 1323

GOLDMAN SACHS & CO. LLC
SEC 8-129

MBSC SECURITIES CORPORATION
CRD 231 · SEC 801-54739

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

Fund details & source

Fund ID: 805-2387061332
Reported beneficial owners: 40
Minimum commitment: $1M
Form D file number: 021-128756

Form ADV 1149465 · Nov 15, 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.

HARBORWALK MLP FUND, LPHedge Fund · Last reported Nov 15, 2017$11MGross asset value

Fund administrator DB FUND SERVICES LLC CARLSBAD, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG GEORGETOWN, Cayman Islands

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

Marketer MBSC SECURITIES CORPORATION NEW YORK CITY, New York, United States Related to adviser: Yes

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

Provider details

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

KPMG
PCAOB 1323

MBSC SECURITIES CORPORATION
CRD 231 · SEC 801-54739

Fund details & source

Fund ID: 805-4249143175
Reported beneficial owners: 13
Minimum commitment: $250K

Form ADV 1149465 · Nov 15, 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.

HARBORWALK OPPORTUNISTIC INVESTOR, LPHedge Fund · Last reported Nov 15, 2017$5.28MGross asset value

Fund administrator SEI GLOBAL SERVICES, INC. OAKS, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG GEORGETOWN, Cayman Islands

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

Marketer MBSC SECURITIES CORPORATION NEW YORK CITY, New York, United States Related to adviser: Yes

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

Provider details

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

KPMG
PCAOB 1323

GOLDMAN SACHS & CO. LLC
SEC 8-129

MBSC SECURITIES CORPORATION
CRD 231 · SEC 801-54739

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

Fund details & source

Fund ID: 805-6150709826
Reported beneficial owners: 3
Minimum commitment: $250K
Form D file number: 021-256359

Form ADV 1149465 · Nov 15, 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.

HARBORWALK GLOBAL GROWTH, LPHedge Fund · Last reported Nov 15, 2017$2.33MGross asset value

Fund administrator SEI GLOBAL SERVICES, INC. OAKS, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG GEORGETOWN, Cayman Islands

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

Marketer MBSC SECURITIES CORPORATION NEW YORK CITY, New York, United States Related to adviser: Yes

Prime broker GOLDMAN SACHS & CO. LLC 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

KPMG
PCAOB 1323

MBSC SECURITIES CORPORATION
CRD 231 · SEC 801-54739

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

Fund details & source

Fund ID: 805-4744057672
Reported beneficial owners: 2
Minimum commitment: $500K
Form D file number: 021-262777

Form ADV 1149465 · Nov 15, 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.

HARBORWALK GLOBAL ALLOCATION IDF, LPHedge Fund · Last reported Nov 30, 2015$13.9MGross asset value

Fund administrator SEI GLOBAL SERVICES, INC. OAKS, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG CAYMAN ISLANDS GRAND CAYMAN, Cayman Islands

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

Marketer MBSC SECURITIES CORPORATION NEW YORK CITY, New York, United States Related to adviser: Yes

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

Provider details

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

GOLDMAN, SACHS & CO.
SEC 8-129

MBSC SECURITIES CORPORATION
CRD 231 · SEC 801-54739

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

Fund details & source

Fund ID: 805-6353428346
Reported beneficial owners: 2
Minimum commitment: $1M

Form ADV 949484 · Nov 30, 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.

HARBORWALK EVENT DRIVEN MASTER FUND, LPHedge Fund · Last reported Nov 30, 2015$12.5MGross asset value

Feeder funds

HARBORWALK EVENT DRIVEN FUND, L.P

Fund administrator DEUTSCHE BANK (CAYMAN) LIMITED CAYMAN ISLANDS, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP CAYMAN ISLANDS, Cayman Islands

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

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

Provider details

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

Fund details & source

Fund ID: 805-5902771996
Reported beneficial owners: 14
Minimum commitment: $1M

Form ADV 949484 · Nov 30, 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.

Services & filing details

Most recent filing: Nov 15, 2017. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

ONE BOSTON PLACE
BOSTON, MA, 02108, United States

CRD 105616

Filing source

Form ADV 1149465 · Nov 15, 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.