Investment adviser · CRD 138535

WATERSTONE CAPITAL MANAGEMENT, L.P.

Investment adviser filing (IA)

PLYMOUTH, MN, United States · Form ADV filed Apr 21, 2015

Regulatory AUM
$486M
Form ADV · Item 5.F
Client accounts
3
Accounts, not individual clients
Employees
7
Reported in this filing
Advisory professionals
3
Investment advisory functions

Private funds & service providers

5 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.

WATERSTONE MARKET NEUTRAL MASTER FUND LTDHedge Fund · Last reported Apr 21, 2015$486MGross asset value

Feeder funds

Fund administrator GLOBEOP FINANCIAL SERVICES GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LTD GRAND CAYMAN, Cayman Islands
Custodian AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC BROOKLYN, New York, United States Related to adviser: No
Custodian BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States Related to adviser: No
Custodian CITIBANK, NA NEW YORK, New York, United States Related to adviser: No
Custodian CREDIT SUISSE INTERNATIONAL NEW YORK, New York, United States Related to adviser: No
Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY CAPITAL SERVICES, INC. NEW YORK, New York, United States Related to adviser: No
Custodian SCOTIA CAPITAL (USA) INC. NEW YORK, New York, United States Related to adviser: No
Custodian UBS AG STAMFORD, Connecticut, United States Related to adviser: No
Custodian WELLS FARGO NA SAN FRANCISCO, California, United States Related to adviser: No
Prime broker BARCLAYS BANK PLC NEW YORK, New York, United States
Prime broker BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States
Prime broker DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States
Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States
Prime broker SCOTIA CAPITAL (USA) INC. 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

BNP PARIBAS PRIME BROKERAGE, INC.
SEC 8-40490

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

GOLDMAN, SACHS & CO.
SEC 8-129

J.P. MORGAN CLEARING CORP.
SEC 8-43724

SCOTIA CAPITAL (USA) INC.
SEC 8-3716

BNP PARIBAS PRIME BROKERAGE, INC.
CRD 24962 · SEC 8-40490

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

SCOTIA CAPITAL (USA) INC.
CRD 2739 · SEC 8-3716

Fund details & source
Fund ID
805-3532012530
Reported beneficial owners
12
Minimum commitment
$1M

Form ADV 912658 · Apr 21, 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.

WATERSTONE OFFSHORE AD FUND, LTD.Hedge Fund · Last reported Apr 1, 2014$509MGross asset value
Fund administrator GLOBEOP FINANCIAL SERVICES GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LLP MINNEAPOLIS, Minnesota, United States
Custodian AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC BROOKLYN, New York, United States Related to adviser: No
Custodian BANK OF AMERICA, NA NEW YORK, New York, United States Related to adviser: No
Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No
Custodian CITIBANK, NA NEW YORK, New York, United States Related to adviser: No
Custodian CREDIT SUISSE INTERNATIONAL NEW YORK, New York, United States Related to adviser: No
Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY CAPITAL SERVICES INC. NEW YORK, New York, United States Related to adviser: No
Custodian UBS AG STAMFORD, Connecticut, United States Related to adviser: No
Prime broker BARCLAYS BANK PLC NEW YORK, New York, United States
Prime broker DEUTSCHE BANK AG NEW YORK, New York, United States
Prime broker GOLDMAN SACHS INTERNATIONAL NEW YORK, New York, United States
Prime broker J.P. MORGAN CHASE BANK, NA 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

BARCLAYS CAPITAL INC.
SEC 8-41342

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

GOLDMAN, SACHS & CO.
SEC 8-129

J.P. MORGAN CLEARING CORP.
SEC 8-43724

Fund details & source
Fund ID
805-1320947466
Reported beneficial owners
1
Minimum commitment
$1M

Form ADV 814311 · Apr 1, 2014 · 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.

WATERSTONE OFFSHORE ER FUND, LTD.Hedge Fund · Last reported Apr 1, 2014$87.2MGross asset value

Form D fundraising filings

Waterstone Offshore ER Fund, Ltd.

Fund administrator GLOBEOP FINANCIAL SERVICES GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LTD GRAND GAYMAN, Cayman Islands
Custodian BANK OF AMERICA, NA NEW YORK, New York, United States Related to adviser: No
Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No
Custodian BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States Related to adviser: No
Custodian CITIBANK, NA NEW YORK, New York, United States Related to adviser: No
Custodian CREDIT SUISSE INTERNATIONAL NEW YORK, New York, United States Related to adviser: No
Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY CAPITAL SERVICES, INC. NEW YORK, New York, United States Related to adviser: No
Custodian UBS AG STAMFORD, Connecticut, United States Related to adviser: No
Prime broker BARCLAYS BANK PLC NEW YORK, New York, United States
Prime broker DEUTSCHE BANK AG NEW YORK, New York, United States
Prime broker GOLDMAN SACHS INTERNATIONAL NEW YORK, New York, United States
Prime broker J.P. MORGAN CHASE BANK, NA 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

BARCLAYS CAPITAL INC.
SEC 8-41342

BNP PARIBAS PRIME BROKERAGE, INC.
SEC 8-40490

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

GOLDMAN, SACHS & CO.
SEC 8-129

J.P. MORGAN CLEARING CORP.
SEC 8-43724

Fund details & source
Fund ID
805-5812766376
Reported beneficial owners
2
Minimum commitment
$1M
Form D file number
021-150296

Form ADV 814311 · Apr 1, 2014 · 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.

WATERSTONE MF FUND, LTD.Hedge Fund · Last reported Apr 1, 2014$77.7MGross asset value

Form D fundraising filings

WATERSTONE MF FUND LTD.

Feeder funds

Fund administrator GLOBEOP FINANCIAL SERVICES GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LLP MINNEAPOLIS, Minnesota, United States
Custodian BANK OF AMERICA, NA NEW YORK, New York, United States Related to adviser: No
Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No
Custodian BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States Related to adviser: No
Custodian CITIBANK, NA NEW YORK, New York, United States Related to adviser: No
Custodian CREDIT SUISSE INTERNATIONAL NEW YORK, New York, United States Related to adviser: No
Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY CAPITAL SERVICES INC. NEW YORK, New York, United States Related to adviser: No
Custodian UBS AG STAMFORD, Connecticut, United States Related to adviser: No
Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States
Prime broker BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States
Prime broker DEUTSCHE BANK AG NEW YORK, New York, United States
Prime broker GOLDMAN SACHS INTERNATIONAL NEW YORK, New York, United States
Prime broker JP MORGAN CHASE BANK, NA 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

BARCLAYS CAPITAL INC.
SEC 8-41342

BNP PARIBAS PRIME BROKERAGE, INC.
SEC 8-40490

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

GOLDMAN, SACHS & CO.
SEC 8-129

J.P. MORGAN CLEARING CORP.
SEC 8-43724

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

BNP PARIBAS PRIME BROKERAGE, INC.
CRD 24962 · SEC 8-40490

Fund details & source
Fund ID
805-4423450733
Reported beneficial owners
7
Minimum commitment
$1M
Form D file number
021-139387

Form ADV 814311 · Apr 1, 2014 · 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.

WATERSTONE QUARRY MASTER FUND, LTD.Hedge Fund · Last reported Feb 3, 2015$74.3MGross asset value

Feeder funds

Fund administrator GLOBEOP FINANCIAL SERVICES GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LTD. GRAND CAYMAN, Cayman Islands
Custodian BANK OF AMERICA, NA NEW YORK, New York, United States Related to adviser: No
Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No
Custodian CITIBANK, NA NEW YORK, New York, United States Related to adviser: No
Custodian CREDIT SUISSE INTERNATIONAL NEW YORK, New York, United States Related to adviser: No
Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY CAPITAL SERVICES INC. NEW YORK, New York, United States Related to adviser: No
Custodian UBS AG STAMFORD, Connecticut, United States Related to adviser: No
Prime broker DEUTSCHE BANK AG NEW YORK, New York, United States
Prime broker JP MORGAN CHASE BANK, NA 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

BARCLAYS CAPITAL INC.
SEC 8-41342

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

GOLDMAN, SACHS & CO.
SEC 8-129

J.P. MORGAN CLEARING CORP.
SEC 8-43724

Fund details & source
Fund ID
805-5794136514
Reported beneficial owners
6
Minimum commitment
$1M

Form ADV 863341 · Feb 3, 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: Apr 21, 2015. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

2 CARLSON PARKWAY, SUITE 260
PLYMOUTH, MN, 55447, United States

CRD 138535

Filing source

Form ADV 912658 · Apr 21, 2015 · 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.