Investment adviser · CRD 301569

TOWER ROAD CAPITAL, L.P.

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 25, 2020

Regulatory AUM: $31.7M
Client accounts: 3
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	3	$31,700,000	100.0%

Filing source

Form ADV 1401621 · Mar 25, 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

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

TOWER ROAD CAPITAL MASTER FUND, L.P.Hedge Fund · Last reported Mar 25, 2020$31.7MGross asset value

Feeder funds

Fund administrator MORGAN STANLEY FUND SERVICES USA LLC NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LTD. GRAND CAYMAN, Cayman Islands

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

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

Custodian NORTHERN TRUST SECURITIES, INC. JERSEY CITY, New Jersey, United States Related to adviser: No

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

Prime broker MORGAN STANLEY & 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: No

ERNST & YOUNG LTD.
PCAOB 1277

GOLDMAN SACHS & CO. LLC
SEC 8-129

MORGAN STANLEY & CO. LLC
SEC 8-15869

NORTHERN TRUST SECURITIES, INC.
SEC 8-23689

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

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-2174624304
Reported beneficial owners: 13
Minimum commitment: $1M
Form D file number: 021-346523
Form D file number: 021-360486

Form ADV 1401621 · Mar 25, 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.

Services & filing details

Most recent filing: Mar 25, 2020. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

1350 AVENUE OF THE AMERICAS, SUITE 2410
NEW YORK, NY, 10019, United States

CRD 301569

Filing source

Form ADV 1401621 · Mar 25, 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.