Investment adviser · CRD 157239

TONTINE ASSET MANAGEMENT, LLC

Investment adviser filing (IA)

GREENWICH, CT, United States · Form ADV filed May 12, 2020

Regulatory AUM: $830M
Client accounts: 6
Employees: 4
Advisory professionals: 4

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	5	$761,100,000	91.7%
Charities	Fewer than 5	$68,900,000	8.3%

Filing source

Form ADV 1422224 · May 12, 2020 · 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.

TONTINE CAPITAL OVERSEAS MASTER FUND II, L.P.Hedge Fund · Last reported May 12, 2020$423MGross asset value

Feeder funds

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

Auditor PRICEWATERHOUSE COOPERS GRAND CAYMAN, Cayman Islands

Auditor PRICEWATERHOUSE COOPERS HAMILTON, Bermuda

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

Custodian NORTHERN TRUST INTERNATIONAL BANKING CORPORATION JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker CANTOR FITZGERALD & CO. 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
PCAOB 1266

PRICEWATERHOUSE COOPERS
PCAOB 1403

CANTOR FITZGERALD & CO.
SEC 8-201

NORTHERN TRUST INTERNATIONAL BANKING CORPORATION
LEI 6PTKHDJ8HDUF78PFWH30

CANTOR FITZGERALD & CO.
CRD 134 · SEC 8-201

Fund details & source

Fund ID: 805-2913502845
Reported beneficial owners: 45
Minimum commitment: $2.5M
Form D file number: 021-138757
Form D file number: 021-138797

Form ADV 1422224 · May 12, 2020 · 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.

TONTINE FINANCIAL PARTNERS, L.P.Hedge Fund · Last reported May 12, 2020$188MGross asset value

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

Auditor FULVIO & ASSOCIATES LLP NEW YORK, New York, United States

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

Custodian NORTHERN TRUST INTERNATIONAL BANKING CORPORATION JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker CANTOR FITZGERALD & CO. 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

FULVIO & ASSOCIATES LLP
PCAOB 6529

CANTOR FITZGERALD & CO.
SEC 8-201

NORTHERN TRUST INTERNATIONAL BANKING CORPORATION
LEI 6PTKHDJ8HDUF78PFWH30

CANTOR FITZGERALD & CO.
CRD 134 · SEC 8-201

Fund details & source

Fund ID: 805-1559534607
Reported beneficial owners: 11
Minimum commitment: $1M

Form ADV 1422224 · May 12, 2020 · 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.

TONTINE CAPITAL PARTNERS, L.P.Hedge Fund · Last reported May 12, 2020$151MGross asset value

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

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

Custodian NORTHERN TRUST INTERNATIONAL BANKING CORPORATION JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker CANTOR FITZGERALD & CO. NEW YORK, New York, United States

Provider details

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

CANTOR FITZGERALD & CO.
SEC 8-201

NORTHERN TRUST INTERNATIONAL BANKING CORPORATION
LEI 6PTKHDJ8HDUF78PFWH30

CANTOR FITZGERALD & CO.
CRD 134 · SEC 8-201

Fund details & source

Fund ID: 805-5735156793
Reported beneficial owners: 3
Minimum commitment: $2.5M

Form ADV 1422224 · May 12, 2020 · 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.

TONTINE PARTNERS, L.P.Hedge Fund · Last reported Feb 19, 2016$31.3MGross asset value

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

Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Prime broker UBS SECURITIES LLC NEW YORK, New York, United States

Provider details

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

UBS SECURITIES LLC
SEC 8-22651

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source

Fund ID: 805-1041590926
Reported beneficial owners: 3
Minimum commitment: $2.5M

Form ADV 980594 · Feb 19, 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.

TTR OVERSEAS MASTER FUND, L.P.Hedge Fund · Last reported Apr 29, 2016$13.6MGross asset value

Feeder funds

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

Auditor PRICEWATERHOUSE COOPERS GRAND CAYMAN, Cayman Islands

Auditor PRICEWATERHOUSE COOPERS HAMILTON, Bermuda

Custodian NORTHERN TRUST INTERNATIONAL BANKING CORPORATION JERSEY CITY, New Jersey, United States Related to adviser: No

Custodian WELLS FARGO SECURITIES, LLC NEW YORK, New York, United States Related to adviser: No

Prime broker WELLS FARGO SECURITIES, 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: No

WELLS FARGO SECURITIES, LLC
SEC 8-65876

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Fund details & source

Fund ID: 805-5304417379
Reported beneficial owners: 44
Minimum commitment: $2.5M
Form D file number: 021-131395
Form D file number: 021-131396

Form ADV 1014884 · Apr 29, 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.

TONTINE CAPITAL OVERSEAS MASTER FUND, L.P.Hedge Fund · Last reported Mar 28, 2013$10.9MGross asset value

Fund administrator CITI FUND SERVICES (BERMUDA), LTD. HAMILTON, Bermuda Investor statements: No (provided to no investors) Related to adviser: No

Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Prime broker UBS SECURITIES LLC NEW YORK, New York, United States

Provider details

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

UBS SECURITIES LLC
SEC 8-22651

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source

Fund ID: 805-6849675145
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 710103 · Mar 28, 2013 · 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.

TFP OVERSEAS FUND, LTD.Hedge Fund · Last reported May 10, 2012$5.7MGross asset value

Fund administrator CITI HEDGE FUND SERVICES, LTD. HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSE COOPERS GRAND CAYMAN, Cayman Islands

Custodian J.P. MORGAN CHASE BANK SAN ANTONIO, Texas, United States Related to adviser: No

Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Prime broker UBS SECURITIES 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: No

UBS SECURITIES LLC
SEC 8-22651

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source

Fund ID: 805-4754223430
Reported beneficial owners: 10
Minimum commitment: $2.5M

Form ADV 646266 · May 10, 2012 · 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: May 12, 2020. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

1 SOUND SHORE DRIVE, SUITE 304
GREENWICH, CT, 06830, United States

CRD 157239

Filing source

Form ADV 1422224 · May 12, 2020 · 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.