Investment adviser · CRD 161586

WESTERN INVESTMENT LLC

Investment adviser filing (IA)

· Form ADV filed Mar 21, 2017

Regulatory AUM
$112M
Form ADV · Item 5.F
Client accounts
3
Accounts, not individual clients
Employees
3
Reported in this filing
Advisory professionals
2
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.

WESTERN INVESTMENT HEDGED PARTNERS LPHedge Fund · Last reported Mar 21, 2017$69.4MGross asset value

Form D fundraising filings

Western Investment Hedged Partners L.P.

Fund administrator UMB FUND SERVICES OGDEN, Utah, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG SALT LAKE CITY, Utah, United States
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No
Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States
Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

J.P. MORGAN SECURITIES LLC
SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source
Fund ID
805-3716066391
Reported beneficial owners
33
Minimum commitment
$1M
Form D file number
021-139921

Form ADV 1090880 · Mar 21, 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.

WESTERN INVESTMENT TOTAL RETURN PARTNERS LPHedge Fund · Last reported Mar 21, 2017$33.2MGross asset value

Form D fundraising filings

Western Investment Total Return Partners L.P.

Fund administrator UMB FUND SERVICES OGDEN, Utah, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG SALT LAKE CITY, Utah, United States
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No
Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States
Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

J.P. MORGAN SECURITIES LLC
SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source
Fund ID
805-6995136453
Reported beneficial owners
6
Minimum commitment
$1M
Form D file number
021-157608

Form ADV 1090880 · Mar 21, 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.

WESTERN INVESTMENT INSTITUTIONAL PARTNERS LLCHedge Fund · Last reported Feb 13, 2012$43.4MGross asset value
Fund administrator JD CLARK OGDEN, Utah, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG SALT LAKE CITY, Utah, United States
Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No
Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States
Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States
Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, 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

J.P. MORGAN SECURITIES LLC
SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source
Fund ID
805-4060521179
Reported beneficial owners
65
Minimum commitment
$10M

Form ADV 611185 · Feb 13, 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.

WESTERN INVESTMENT ACTIVISM PARTNERS LLCHedge Fund · Last reported Feb 13, 2012$27.7MGross asset value
Fund administrator JD CLARK OGDEN, Utah, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG SALT LAKE CITY, Utah, United States
Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No
Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States
Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States
Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, 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

J.P. MORGAN SECURITIES LLC
SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source
Fund ID
805-5331583478
Reported beneficial owners
7
Minimum commitment
$1M

Form ADV 611185 · Feb 13, 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.

WESTERN INVESTMENT TOTAL RETURN FUND LTDHedge Fund · Last reported Feb 13, 2012$12.5MGross asset value
Fund administrator JD CLARK OGDEN, Utah, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG GRAND CAYMAN, Cayman Islands
Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No
Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States
Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States
Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, 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

J.P. MORGAN SECURITIES LLC
SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source
Fund ID
805-9562087841
Reported beneficial owners
2
Minimum commitment
$1M

Form ADV 611185 · Feb 13, 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: Mar 21, 2017. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

CRD 161586

Filing source

Form ADV 1090880 · Mar 21, 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.