← Crystal Capital Partners, Llc
Form ADV (full filing)
as of Mar 31, 2026
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FORM ADV
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS
Primary Business Name: CRYSTAL CAPITAL PARTNERS, LLC CRD Number: 146010
Annual Amendment - All Sections Rev. 10/2021
3/31/2026 3:05:34 PM
WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must keep this form updated by filing periodic
amendments. See Form ADV General Instruction 4.
Item 1 Identifying Information
Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be provided for the filing adviser only.
General Instruction 5 provides information to assist you with filing an umbrella registration.
A. Your full legal name (if you are a sole proprietor, your last, first, and middle names):
CRYSTAL CAPITAL PARTNERS, LLC
B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A.
CRYSTAL CAPITAL PARTNERS, LLC
List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business.
(2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box
If you check this box, complete a Schedule R for each relying adviser.
C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of
your legal name or your primary business name:
D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-68672
(2) If you report to the SEC as an exempt reporting adviser, your SEC file number:
(3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers:
No Information Filed
E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 146010
If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates.
(2) If you have additional CRD Numbers, your additional CRD numbers:
No Information Filed
F. Principal Office and Place of Business
(1) Address (do not use a P.O. Box):
Number and Street 1: Number and Street 2:
1111 KANE CONCOURSE SUITE 404
City: State: Country: ZIP+4/Postal Code:
BAY HARBOR ISLANDS Florida United States 33154
If this address is a private residence, check this box:
List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for registration, or are registered, with one or
more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with whom you are registered. If you are applying for SEC registration, if you are
registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal
year.
(2) Days of week that you normally conduct business at your principal office and place of business:
Monday - Friday Other:
Normal business hours at this location:
9:00-5:00
(3) Telephone number at this location:
305-868-1500
(4) Facsimile number at this location, if any:
(5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most recently completed fiscal year?
0
G. Mailing address, if different from your principal office and place of business address:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Yes No
I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)?
If "yes," list all firm website addresses and the address for each of the firm's accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website address serves as a portal through which to access
other information you have published on the web, you may list the portal without listing addresses for all of the other information. You may need to list more than one portal address. Do not provide the addresses of websites
or accounts on publicly available social media platforms where you do not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly
available social media platforms.
J. Chief Compliance Officer
(1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief Compliance Officer, if you have one. If not,
you must complete Item 1.K. below.
Name: Other titles, if any:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if Chief Compliance Officer has one:
(2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment Company Act of 1940 that you advise for
providing chief compliance officer services to you, provide the person's name and IRS Employer Identification Number (if any):
Name:
IRS Employer Identification Number:
K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you may provide that information here.
Name: Titles:
Telephone number: Facsimile number, if any:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
Electronic mail (e-mail) address, if contact person has one:
Yes No
L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your principal office and place of business?
If "yes," complete Section 1.L. of Schedule D.
Yes No
M. Are you registered with a foreign financial regulatory authority?
Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes," complete Section 1.M. of Schedule D.
Yes No
N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
Yes No
O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year?
If yes, what is the approximate amount of your assets:
$1 billion to less than $10 billion
$10 billion to less than $50 billion
$50 billion or more
For purposes of Item 1.O. only, "assets" refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assets shown on the balance sheet for your most recent
fiscal year end.
P. Provide your Legal Entity Identifier if you have one:
A legal entity identifier is a unique number that companies use to identify each other in the financial marketplace. You may not have a legal entity identifier.
SECTION 1.B. Other Business Names
No Information Filed
SECTION 1.F. Other Offices
No Information Filed
SECTION 1.I. Website Addresses
List your website addresses, including addresses for accounts on publicly available social media platforms where you control the content (including, but not limited to, Twitter, Facebook and/or LinkedIn). You must
complete a separate Schedule D Section 1.I. for each website or account on a publicly available social media platform.
Address of Website/Account on Publicly Available Social Media Platform: HTTPS://WWW.CRYSTALFUNDS.COM
Address of Website/Account on Publicly Available Social Media Platform: https://www.linkedin.com/company/crystal-capital-partners-llc
Address of Website/Account on Publicly Available Social Media Platform: https://vimeo.com/crystalfunds
Address of Website/Account on Publicly Available Social Media Platform: https://www.youtube.com/channel/UCrZn7yAOTA6JIwwQcfjXIgQ
Address of Website/Account on Publicly Available Social Media Platform: https://www.google.com/maps/place/Crystal+Capital+Partners,+LLC/@25.8870331,-80.134224,17z/data=!3m2!4b1!5s0x88d9b29b532f7d79:0x
SECTION 1.L. Location of Books and Records
No Information Filed
SECTION 1.M. Registration with Foreign Financial Regulatory Authorities
No Information Filed
Item 2 SEC Registration/Reporting
Responses to this Item help us (and you) determine whether you are eligible to register with the SEC. Complete this Item 2.A. only if you are applying for SEC registration or submitting an annual updating amendment to
your SEC registration. If you are filing an umbrella registration, the information in Item 2 should be provided for the filing adviser only.
A. To register (or remain registered) with the SEC, you must check at least one of the Items 2.A.(1) through 2.A.(12), below. If you are submitting an annual updating amendment to your SEC registration and you are no
longer eligible to register with the SEC, check Item 2.A.(13). Part 1A Instruction 2 provides information to help you determine whether you may affirmatively respond to each of these items.
You (the adviser):
(1) are a large advisory firm that either:
(a) has regulatory assets under management of $100 million (in U.S. dollars) or more; or
(b) has regulatory assets under management of $90 million (in U.S. dollars) or more at the time of filing its most recent annual updating amendment and is registered with the SEC;
(2) are a mid-sized advisory firm that has regulatory assets under management of $25 million (in U.S. dollars) or more but less than $100 million (in U.S. dollars) and you are either:
(a) not required to be registered as an adviser with the state securities authority of the state where you maintain your principal office and place of business; or
(b) not subject to examination by the state securities authority of the state where you maintain your principal office and place of business;
Click HERE for a list of states in which an investment adviser, if registered, would not be subject to examination by the state securities authority.
(3) Reserved
(4) have your principal office and place of business outside the United States;
(5) are an investment adviser (or subadviser) to an investment company registered under the Investment Company Act of 1940;
(6) are an investment adviser to a company which has elected to be a business development company pursuant to section 54 of the Investment Company Act of 1940 and has not withdrawn the election,
and you have at least $25 million of regulatory assets under management;
(7) are a pension consultant with respect to assets of plans having an aggregate value of at least $200,000,000 that qualifies for the exemption in rule 203A-2(a);
(8) are a related adviser under rule 203A-2(b) that controls, is controlled by, or is under common control with, an investment adviser that is registered with the SEC, and your principal office and place of business
is the same as the registered adviser;
If you check this box, complete Section 2.A.(8) of Schedule D.
(9) are an adviser relying on rule 203A-2(c) because you expect to be eligible for SEC registration within 120 days;
If you check this box, complete Section 2.A.(9) of Schedule D.
(10) are a multi-state adviser that is required to register in 15 or more states and is relying on rule 203A-2(d);
If you check this box, complete Section 2.A.(10) of Schedule D.
(11) are an Internet adviser relying on rule 203A-2(e);
If you check this box, complete Section 2.A.(11) of Schedule D.
(12) have received an SEC order exempting you from the prohibition against registration with the SEC;
If you check this box, complete Section 2.A.(12) of Schedule D.
(13) are no longer eligible to remain registered with the SEC.
State Securities Authority Notice Filings and State Reporting by Exempt Reporting Advisers
C. Under state laws, SEC-registered advisers may be required to provide to state securities authorities a copy of the Form ADV and any amendments they file with the SEC. These are called notice filings. In addition,
exempt reporting advisers may be required to provide state securities authorities with a copy of reports and any amendments they file with the SEC. If this is an initial application or report, check the box(es) next to
the state(s) that you would like to receive notice of this and all subsequent filings or reports you submit to the SEC. If this is an amendment to direct your notice filings or reports to additional state(s), check the
box(es) next to the state(s) that you would like to receive notice of this and all subsequent filings or reports you submit to the SEC. If this is an amendment to your registration to stop your notice filings or reports
from going to state(s) that currently receive them, uncheck the box(es) next to those state(s).
Jurisdictions
AL IL NE SC
AK IN NV SD
AZ IA NH TN
AR KS NJ TX
CA KY NM UT
CO LA NY VT
CT ME NC VI
DE MD ND VA
DC MA OH WA
FL MI OK WV
GA MN OR WI
GU MS PA WY
HI MO PR
ID MT RI
If you are amending your registration to stop your notice filings or reports from going to a state that currently receives them and you do not want to pay that state's notice filing or report filing fee for the coming year, your
amendment must be filed before the end of the year (December 31).
SECTION 2.A.(8) Related Adviser
If you are relying on the exemption in rule 203A-2(b) from the prohibition on registration because you control, are controlled by, or are under common control with an investment adviser that is registered with the SEC and
your principal office and place of business is the same as that of the registered adviser, provide the following information:
Name of Registered Investment Adviser
CRD Number of Registered Investment Adviser
SEC Number of Registered Investment Adviser
-
SECTION 2.A.(9) Investment Adviser Expecting to be Eligible for Commission Registration within 120 Days
If you are relying on rule 203A-2(c), the exemption from the prohibition on registration available to an adviser that expects to be eligible for SEC registration within 120 days, you are required to make certain
representations about your eligibility for SEC registration. By checking the appropriate boxes, you will be deemed to have made the required representations. You must make both of these representations:
I am not registered or required to be registered with the SEC or a state securities authority and I have a reasonable expectation that I will be eligible to register with the SEC within 120 days after the date my
registration with the SEC becomes effective.
I undertake to withdraw from SEC registration if, on the 120th day after my registration with the SEC becomes effective, I would be prohibited by Section 203A(a) of the Advisers Act from registering with the SEC.
SECTION 2.A.(10) Multi-State Adviser
If you are relying on rule 203A-2(d), the multi-state adviser exemption from the prohibition on registration, you are required to make certain representations about your eligibility for SEC registration. By checking the
appropriate boxes, you will be deemed to have made the required representations.
If you are applying for registration as an investment adviser with the SEC, you must make both of these representations:
I have reviewed the applicable state and federal laws and have concluded that I am required by the laws of 15 or more states to register as an investment adviser with the state securities authorities in those states.
I undertake to withdraw from SEC registration if I file an amendment to this registration indicating that I would be required by the laws of fewer than 15 states to register as an investment adviser with the state
securities authorities of those states.
If you are submitting your annual updating amendment, you must make this representation:
Within 90 days prior to the date of filing this amendment, I have reviewed the applicable state and federal laws and have concluded that I am required by the laws of at least 15 states to register as an investment
adviser with the state securities authorities in those states.
SECTION 2.A.(11) Internet Adviser
If you are relying on rule 203A-2(e), the Internet adviser exemption from the prohibition on registration, you are required to make a representation about your eligibility for SEC registration. By checking the appropriate
box, you will be deemed to have made the required representation.
If you are applying for registration as an investment adviser with the SEC or changing your existing Item 2 response regarding your eligibility for SEC registration, you must make this representation:
I will provide investment advice on an ongoing basis to more than one client exclusively through an operational interactive website.
If you are filing an annual updating amendment to your existing registration and are continuing to rely on the Internet adviser exemption for SEC registration, you must make this representation:
I have provided and will continue to provide investment advice on an ongoing basis to more than one client exclusively through an operational interactive website.
SECTION 2.A.(12) SEC Exemptive Order
If you are relying upon an SEC order exempting you from the prohibition on registration, provide the following information:
Application Number:
803-
Date of order:
Item 3 Form of Organization
If you are filing an umbrella registration, the information in Item 3 should be provided for the filing adviser only.
A. How are you organized?
Corporation
Sole Proprietorship
Limited Liability Partnership (LLP)
Partnership
Limited Liability Company (LLC)
Limited Partnership (LP)
Other (specify):
If you are changing your response to this Item, see Part 1A Instruction 4.
B. In what month does your fiscal year end each year?
DECEMBER
C. Under the laws of what state or country are you organized?
State Country
Florida United States
If you are a partnership, provide the name of the state or country under whose laws your partnership was formed. If you are a sole proprietor, provide the name of the state or country where you reside.
If you are changing your response to this Item, see Part 1A Instruction 4.
Item 4 Successions
Yes No
A. Are you, at the time of this filing, succeeding to the business of a registered investment adviser, including, for example, a change of your structure or legal status (e.g., form of organization or state of
incorporation)?
If "yes", complete Item 4.B. and Section 4 of Schedule D.
B. Date of Succession: (MM/DD/YYYY)
If you have already reported this succession on a previous Form ADV filing, do not report the succession again. Instead, check "No." See Part 1A Instruction 4.
SECTION 4 Successions
No Information Filed
Item 5 Information About Your Advisory Business - Employees, Clients, and Compensation
Responses to this Item help us understand your business, assist us in preparing for on-site examinations, and provide us with data we use when making regulatory policy. Part 1A Instruction 5.a. provides additional
guidance to newly formed advisers for completing this Item 5.
Employees
If you are organized as a sole proprietorship, include yourself as an employee in your responses to Item 5.A. and Items 5.B.(1), (2), (3), (4), and (5). If an employee performs more than one function, you should count that
employee in each of your responses to Items 5.B.(1), (2), (3), (4), and (5).
A. Approximately how many employees do you have? Include full- and part-time employees but do not include any clerical workers.
23
B. (1) Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research)?
6
(2) Approximately how many of the employees reported in 5.A. are registered representatives of a broker-dealer?
0
(3) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives?
0
(4) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives for an investment adviser other than you?
0
(5) Approximately how many of the employees reported in 5.A. are licensed agents of an insurance company or agency?
0
(6) Approximately how many firms or other persons solicit advisory clients on your behalf?
0
In your response to Item 5.B.(6), do not count any of your employees and count a firm only once – do not count each of the firm's employees that solicit on your behalf.
Clients
In your responses to Items 5.C. and 5.D. do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship with those investors.
C. (1) To approximately how many clients for whom you do not have regulatory assets under management did you provide investment advisory services during your most recently completed fiscal year?
0
(2) Approximately what percentage of your clients are non-United States persons?
50%
D. For purposes of this Item 5.D., the category "individuals" includes trusts, estates, and 401(k) plans and IRAs of individuals and their family members, but does not include businesses organized as sole proprietorships.
The category "business development companies" consists of companies that have made an election pursuant to section 54 of the Investment Company Act of 1940. Unless you provide advisory services pursuant to an
investment advisory contract to an investment company registered under the Investment Company Act of 1940, do not answer (1)(d) or (3)(d) below.
Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client. If you have fewer than
5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather than respond to Item 5.D.(1).
The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below.
If a client fits into more than one category, select one category that most accurately represents the client to avoid double counting clients and assets. If you advise a registered investment company, business
development company, or pooled investment vehicle, report those assets in categories (d), (e), and (f) as applicable.
(1) Number of (2) Fewer than 5 (3) Amount of Regulatory Assets under
Type of Client Client(s) Clients Management
(a) Individuals (other than high net worth individuals) $
(b) High net worth individuals $
(c) Banking or thrift institutions $
(d) Investment companies $
(e) Business development companies $
(f) Pooled investment vehicles (other than investment companies and business development 6 $ 1,296,000,000
companies)
(g) Pension and profit sharing plans (but not the plan participants or government pension plans) $
(h) Charitable organizations $
(i) State or municipal government entities (including government pension plans) $
(j) Other investment advisers $
(k) Insurance companies $
(l) Sovereign wealth funds and foreign official institutions $
(m) Corporations or other businesses not listed above $
(n) Other: $
Compensation Arrangements
E. You are compensated for your investment advisory services by (check all that apply):
(1) A percentage of assets under your management
(2) Hourly charges
(3) Subscription fees (for a newsletter or periodical)
(4) Fixed fees (other than subscription fees)
(5) Commissions
(6) Performance-based fees
(7) Other (specify):
Item 5 Information About Your Advisory Business - Regulatory Assets Under Management
Regulatory Assets Under Management
Yes No
F. (1) Do you provide continuous and regular supervisory or management services to securities portfolios?
(2) If yes, what is the amount of your regulatory assets under management and total number of accounts?
U.S. Dollar Amount Total Number of Accounts
Discretionary: (a) $0 (d) 0
Non-Discretionary: (b) $ 1,296,000,000 (e) 615
Total: (c) $ 1,296,000,000 (f) 615
Part 1A Instruction 5.b. explains how to calculate your regulatory assets under management. You must follow these instructions carefully when completing this Item.
(3) What is the approximate amount of your total regulatory assets under management (reported in Item 5.F.(2)(c) above) attributable to clients who are non-United States persons?
$ 459,000,000
Item 5 Information About Your Advisory Business - Advisory Activities
Advisory Activities
G. What type(s) of advisory services do you provide? Check all that apply.
(1) Financial planning services
(2) Portfolio management for individuals and/or small businesses
(3) Portfolio management for investment companies (as well as "business development companies" that have made an election pursuant to section 54 of the Investment Company Act of 1940)
(4) Portfolio management for pooled investment vehicles (other than investment companies)
(5) Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and other pooled investment vehicles)
(6) Pension consulting services
(7) Selection of other advisers (including private fund managers)
(8) Publication of periodicals or newsletters
(9) Security ratings or pricing services
(10) Market timing services
(11) Educational seminars/workshops
(12) Other(specify): HEDGE AND PRIVATE EQUITY FUND PORTFOLIO MANAGEMENT SERVICES
Do not check Item 5.G.(3) unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment Company Act of 1940, including as a subadviser. If
you check Item 5.G.(3), report the 811 or 814 number of the investment company or investment companies to which you provide advice in Section 5.G.(3) of Schedule D.
H. If you provide financial planning services, to how many clients did you provide these services during your last fiscal year?
0
1 - 10
11 - 25
26 - 50
51 - 100
101 - 250
251 - 500
More than 500
If more than 500, how many?
(round to the nearest 500)
In your responses to this Item 5.H., do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship with those investors.
Yes No
I. (1) Do you participate in a wrap fee program?
(2) If you participate in a wrap fee program, what is the amount of your regulatory assets under management attributable to acting as:
(a) sponsor to a wrap fee program
$
(b) portfolio manager for a wrap fee program?
$
(c) sponsor to and portfolio manager for the same wrap fee program?
$
If you report an amount in Item 5.I.(2)(c), do not report that amount in Item 5.I.(2)(a) or Item 5.I.(2)(b).
If you are a portfolio manager for a wrap fee program, list the names of the programs, their sponsors and related information in Section 5.I.(2) of Schedule D.
If your involvement in a wrap fee program is limited to recommending wrap fee programs to your clients, or you advise a mutual fund that is offered through a wrap fee program, do not check Item 5.I.(1) or enter any
amounts in response to Item 5.I.(2).
Yes No
J. (1) In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide investment advice only with respect to limited types of investments?
(2) Do you report client assets in Item 4.E. of Part 2A that are computed using a different method than the method used to compute your regulatory assets under management?
K. Separately Managed Account Clients
Yes No
(1) Do you have regulatory assets under management attributable to clients other than those listed in Item 5.D.(3)(d)-(f) (separately managed account clients)?
If yes, complete Section 5.K.(1) of Schedule D.
(2) Do you engage in borrowing transactions on behalf of any of the separately managed account clients that you advise?
If yes, complete Section 5.K.(2) of Schedule D.
(3) Do you engage in derivative transactions on behalf of any of the separately managed account clients that you advise?
If yes, complete Section 5.K.(2) of Schedule D.
(4) After subtracting the amounts in Item 5.D.(3)(d)-(f) above from your total regulatory assets under management, does any custodian hold ten percent or more of this remaining amount of regulatory
assets under management?
If yes, complete Section 5.K.(3) of Schedule D for each custodian.
L. Marketing Activities
Yes No
(1) Do any of your advertisements include:
(a) Performance results?
(b) A reference to specific investment advice provided by you (as that phrase is used in rule 206(4)-1(a)(5))?
(c) Testimonials (other than those that satisfy rule 206(4)-1(b)(4)(ii))?
(d) Endorsements (other than those that satisfy rule 206(4)-1(b)(4)(ii))?
(e) Third-party ratings?
(2) If you answer "yes" to L(1)(c), (d), or (e) above, do you pay or otherwise provide cash or non-cash compensation, directly or indirectly, in connection with the use of testimonials, endorsements, or third-
party ratings?
(3) Do any of your advertisements include hypothetical performance ?
(4) Do any of your advertisements include predecessor performance ?
SECTION 5.G.(3) Advisers to Registered Investment Companies and Business Development Companies
No Information Filed
SECTION 5.I.(2) Wrap Fee Programs
No Information Filed
SECTION 5.K.(1) Separately Managed Accounts
After subtracting the amounts reported in Item 5.D.(3)(d)-(f) from your total regulatory assets under management, indicate the approximate percentage of this remaining amount attributable to each of the following
categories of assets. If the remaining amount is at least $10 billion in regulatory assets under management, complete Question (a). If the remaining amount is less than $10 billion in regulatory assets under
management, complete Question (b).
Any regulatory assets under management reported in Item 5.D.(3)(d), (e), and (f) should not be reported below.
If you are a subadviser to a separately managed account, you should only provide information with respect to the portion of the account that you subadvise.
End of year refers to the date used to calculate your regulatory assets under management for purposes of your annual updating amendment . Mid-year is the date six months before the end of year date. Each column
should add up to 100% and numbers should be rounded to the nearest percent.
Investments in derivatives, registered investment companies, business development companies, and pooled investment vehicles should be reported in those categories. Do not report those investments based on
related or underlying portfolio assets. Cash equivalents include bank deposits, certificates of deposit, bankers' acceptances and similar bank instruments.
Some assets could be classified into more than one category or require discretion about which category applies. You may use your own internal methodologies and the conventions of your service providers in
determining how to categorize assets, so long as the methodologies or conventions are consistently applied and consistent with information you report internally and to current and prospective clients. However, you
should not double count assets, and your responses must be consistent with any instructions or other guidance relating to this Section.
(a) Asset Type Mid-year End of year
(i) Exchange-Traded Equity Securities % %
(ii) Non Exchange-Traded Equity Securities % %
(iii) U.S. Government/Agency Bonds % %
(iv) U.S. State and Local Bonds % %
(v) Sovereign Bonds % %
(vi) Investment Grade Corporate Bonds % %
(vii) Non-Investment Grade Corporate Bonds % %
(viii) Derivatives % %
(ix) Securities Issued by Registered Investment Companies or Business Development Companies % %
(x) Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business Development Companies) % %
(xi) Cash and Cash Equivalents % %
(xii) Other % %
Generally describe any assets included in "Other"
(b) Asset Type End of year
(i) Exchange-Traded Equity Securities %
(ii) Non Exchange-Traded Equity Securities %
(iii) U.S. Government/Agency Bonds %
(iv) U.S. State and Local Bonds %
(v) Sovereign Bonds %
(vi) Investment Grade Corporate Bonds %
(vii) Non-Investment Grade Corporate Bonds %
(viii) Derivatives %
(ix) Securities Issued by Registered Investment Companies or Business Development Companies %
(x) Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business Development Companies) %
(xi) Cash and Cash Equivalents %
(xii) Other %
Generally describe any assets included in "Other"
SECTION 5.K.(2) Separately Managed Accounts - Use of Borrowingsand Derivatives
No information is required to be reported in this Section 5.K.(2) per the instructions of this Section 5.K.(2)
If your regulatory assets under management attributable to separately managed accounts are at least $10 billion, you should complete Question (a). If your regulatory assets under management attributable to
separately managed accounts are at least $500 million but less than $10 billion, you should complete Question (b).
(a) In the table below, provide the following information regarding the separately managed accounts you advise. If you are a subadviser to a separately managed account, you should only provide information with
respect to the portion of the account that you subadvise. End of year refers to the date used to calculate your regulatory assets under management for purposes of your annual updating amendment. Mid-year is the
date six months before the end of year date.
In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross notional exposure. For purposes of this table, the gross notional
exposure of an account is the percentage obtained by dividing (i) the sum of (a) the dollar amount of any borrowings and (b) the gross notional value of all derivatives, by (ii) the regulatory assets under management
of the account.
In column 2, provide the dollar amount of borrowings for the accounts included in column 1.
In column 3, provide aggregate gross notional value of derivatives divided by the aggregate regulatory assets under management of the accounts included in column 1 with respect to each category of derivatives
specified in 3(a) through (f).
You may, but are not required to, complete the table with respect to any separately managed account with regulatory assets under management of less than $10,000,000.
Any regulatory assets under management reported in Item 5.D.(3)(d), (e), and (f) should not be reported below.
(i) Mid-Year
Gross Notional (1) Regulatory Assets Under (2)
Exposure Management Borrowings (3) Derivative Exposures
(a) Interest Rate (b) Foreign Exchange (c) Credit (d) Equity (e) Commodity (f) Other
Derivative Derivative Derivative Derivative Derivative Derivative
Less than 10% $ $ % % % % % %
10-149% $ $ % % % % % %
150% or more $ $ % % % % % %
Optional: Use the space below to provide a narrative description of the strategies and/or manner in which borrowings and derivatives are used in the management of the separately managed accounts that you
advise.
(ii) End of Year
Gross Notional (1) Regulatory Assets Under (2)
Exposure Management Borrowings (3) Derivative Exposures
(a) Interest Rate (b) Foreign Exchange (c) Credit (d) Equity (e) Commodity (f) Other
Derivative Derivative Derivative Derivative Derivative Derivative
Less than 10% $ $ % % % % % %
10-149% $ $ % % % % % %
150% or more $ $ % % % % % %
Optional: Use the space below to provide a narrative description of the strategies and/or manner in which borrowings and derivatives are used in the management of the separately managed accounts that you
advise.
(b) In the table below, provide the following information regarding the separately managed accounts you advise as of the date used to calculate your regulatory assets under management for purposes of your annual
updating amendment. If you are a subadviser to a separately managed account, you should only provide information with respect to the portion of the account that you subadvise.
In column 1, indicate the regulatory assets under management attributable to separately managed accounts associated with each level of gross notional exposure. For purposes of this table, the gross notional
exposure of an account is the percentage obtained by dividing (i) the sum of (a) the dollar amount of any borrowings and (b) the gross notional value of all derivatives, by (ii) the regulatory assets under management
of the account.
In column 2, provide the dollar amount of borrowings for the accounts included in column 1.
You may, but are not required to, complete the table with respect to any separately managed accounts with regulatory assets under management of less than $10,000,000.
Any regulatory assets under management reported in Item 5.D.(3)(d), (e), and (f) should not be reported below.
Gross Notional Exposure (1) Regulatory Assets Under Management (2) Borrowings
Less than 10% $ $
10-149% $ $
150% or more $ $
Optional: Use the space below to provide a narrative description of the strategies and/or manner in which borrowings and derivatives are used in the management of the separately managed accounts that you
advise.
SECTION 5.K.(3) Custodians for Separately Managed Accounts
No Information Filed
Item 6 Other Business Activities
In this Item, we request information about your firm's other business activities.
A. You are actively engaged in business as a (check all that apply):
(1) broker-dealer (registered or unregistered)
(2) registered representative of a broker-dealer
(3) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(4) futures commission merchant
(5) real estate broker, dealer, or agent
(6) insurance broker or agent
(7) bank (including a separately identifiable department or division of a bank)
(8) trust company
(9) registered municipal advisor
(10) registered security-based swap dealer
(11) major security-based swap participant
(12) accountant or accounting firm
(13) lawyer or law firm
(14) other financial product salesperson (specify):
If you engage in other business using a name that is different from the names reported in Items 1.A. or 1.B.(1), complete Section 6.A. of Schedule D.
Yes No
B. (1) Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice)?
(2) If yes, is this other business your primary business?
If "yes," describe this other business on Section 6.B.(2) of Schedule D, and if you engage in this business under a different name, provide that name.
Yes No
(3) Do you sell products or provide services other than investment advice to your advisory clients?
If "yes," describe this other business on Section 6.B.(3) of Schedule D, and if you engage in this business under a different name, provide that name.
SECTION 6.A. Names of Your Other Businesses
No Information Filed
SECTION 6.B.(2) Description of Primary Business
Describe your primary business (not your investment advisory business):
If you engage in that business under a different name, provide that name:
SECTION 6.B.(3) Description of Other Products and Services
Describe other products or services you sell to your client. You may omit products and services that you listed in Section 6.B.(2) above.
If you engage in that business under a different name, provide that name:
Item 7 Financial Industry Affiliations
In this Item, we request information about your financial industry affiliations and activities. This information identifies areas in which conflicts of interest may occur between you and your clients.
A. This part of Item 7 requires you to provide information about you and your related persons, including foreign affiliates. Your related persons are all of your advisory affiliates and any person that is under common control
with you.
You have a related person that is a (check all that apply):
(1) broker-dealer, municipal securities dealer, or government securities broker or dealer (registered or unregistered)
(2) other investment adviser (including financial planners)
(3) registered municipal advisor
(4) registered security-based swap dealer
(5) major security-based swap participant
(6) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(7) futures commission merchant
(8) banking or thrift institution
(9) trust company
(10) accountant or accounting firm
(11) lawyer or law firm
(12) insurance company or agency
(13) pension consultant
(14) real estate broker or dealer
(15) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(16) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Note that Item 7.A. should not be used to disclose that some of your employees perform investment advisory functions or are registered representatives of a broker-dealer. The number of your firm's employees who perform
investment advisory functions should be disclosed under Item 5.B.(1). The number of your firm's employees who are registered representatives of a broker-dealer should be disclosed under Item 5.B.(2).
Note that if you are filing an umbrella registration, you should not check Item 7.A.(2) with respect to your relying advisers, and you do not have to complete Section 7.A. in Schedule D for your relying advisers. You should
complete a Schedule R for each relying adviser.
For each related person, including foreign affiliates that may not be registered or required to be registered in the United States, complete Section 7.A. of Schedule D.
You do not need to complete Section 7.A. of Schedule D for any related person if: (1) you have no business dealings with the related person in connection with advisory services you provide to your clients; (2) you do not
conduct shared operations with the related person; (3) you do not refer clients or business to the related person, and the related person does not refer prospective clients or business to you; (4) you do not share supervised
persons or premises with the related person; and (5) you have no reason to believe that your relationship with the related person otherwise creates a conflict of interest with your clients.
You must complete Section 7.A. of Schedule D for each related person acting as qualified custodian in connection with advisory services you provide to your clients (other than any mutual fund transfer agent pursuant to rule
206(4)-2(b)(1)), regardless of whether you have determined the related person to be operationally independent under rule 206(4)-2 of the Advisers Act.
SECTION 7.A. Financial Industry Affiliations
Complete a separate Schedule D Section 7.A. for each related person listed in Item 7.A.
1. Legal Name of Related Person:
CRYSTAL FAMILY OFFICE, INC.
2. Primary Business Name of Related Person:
CRYSTAL FAMILY OFFICE
3. Related Person's SEC File Number (if any) (e.g., 801-, 8-, 866-, 802-)
-
or
Other
4. Related Person's
(a) CRD Number (if any):
(b) CIK Number(s) (if any):
No Information Filed
5. Related Person is: (check all that apply)
(a) broker-dealer, municipal securities dealer, or government securities broker or dealer
(b) other investment adviser (including financial planners)
(c) registered municipal advisor
(d) registered security-based swap dealer
(e) major security-based swap participant
(f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
(g) futures commission merchant
(h) banking or thrift institution
(i) trust company
(j) accountant or accounting firm
(k) lawyer or law firm
(l) insurance company or agency
(m) pension consultant
(n) real estate broker or dealer
(o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
(p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Yes No
6. Do you control or are you controlled by the related person?
7. Are you and the related person under common control?
8. (a) Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
(b) If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the presumption that you are not operationally independent (pursuant to
rule 206(4)-2(d)(5)) from the related person and thus are not required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
(c) If you have answered "yes" to question 8.(a) above, provide the location of the related person's office responsible for custody of your clients' assets:
Number and Street 1: Number and Street 2:
City: State: Country: ZIP+4/Postal Code:
If this address is a private residence, check this box:
Yes No
9. (a) If the related person is an investment adviser, is it exempt from registration?
(b) If the answer is yes, under what exemption?
10. (a) Is the related person registered with a foreign financial regulatory authority ?
(b) If the answer is yes, list the name and country, in English of each foreign financial regulatory authority with which the related person is registered.
No Information Filed
11. Do you and the related person share any supervised persons?
12. Do you and the related person share the same physical location?
Item 7 Private Fund Reporting
Yes No
B. Are you an adviser to any private fund?
If "yes," then for each private fund that you advise, you must complete a Section 7.B.(1) of Schedule D, except in certain circumstances described in the next sentence and in Instruction 6 of the Instructions to Part 1A. If you
are registered or applying for registration with the SEC or reporting as an SEC exempt reporting adviser, and another SEC-registered adviser or SEC exempt reporting adviser reports this information with respect to any such
private fund in Section 7.B.(1) of Schedule D of its Form ADV (e.g., if you are a subadviser), do not complete Section 7.B.(1) of Schedule D with respect to that private fund. You must, instead, complete Section 7.B.(2) of
Schedule D.
In either case, if you seek to preserve the anonymity of a private fund client by maintaining its identity in your books and records in numerical or alphabetical code, or similar designation, pursuant to rule 204-2(d), you may
identify the private fund in Section 7.B.(1) or 7.B.(2) of Schedule D using the same code or designation in place of the fund's name.
SECTION 7.B.(1) Private Fund Reporting
Funds per Page: 15 Total Funds: 2
A. PRIVATE FUND
Information About the Private Fund
1. (a) Name of the private fund:
CRYSTAL CAPITAL INTERNATIONAL MASTER FUND SPC
(b) Private fund identification number:
(include the "805-" prefix also)
805-5315942591
2. Under the laws of what state or country is the private fund organized:
State: Country:
Cayman Islands
3. (a) Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity):
Name of General Partner, Manager, Trustee, or Director
CRYSTAL CAPITAL PARTNERS LLC
(b) If filing an umbrella registration, identify the filing adviser and/or relying adviser(s) that sponsor(s) or manage(s) this private fund.
No Information Filed
4. The private fund (check all that apply; you must check at least one):
(1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940
(2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940
5. List the name and country, in English, of each foreign financial regulatory authority with which the private fund is registered.
Name of Country/English Name of Foreign Financial Regulatory Authority
Cayman Islands - Cayman Islands Monetary Authority
Yes No
6. (a) Is this a "master fund" in a master-feeder arrangement?
(b) If yes, what is the name and private fund identification number (if any) of the feeder funds investing in this private fund?
Name of private fund Private fund identification number
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 01/16 - 02 805-1562559143
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 01/16 - 04 805-6931756881
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 01/17-02 805-8127245406
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 01/19 - 01 805-7071878482
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 01/23 - 01 805-8484177176
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 01/23 - 02 805-8083782816
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 02/20 - 01 805-2549050225
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 02/21 - 01 805-1549254968
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 02/25 - 01 805-6780638476
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 03/23 - 01 805-6462419934
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 03/23 - 02 805-3002589669
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 03/24 - 01 805-4478932614
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 03/24 - 02 805-8307654697
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 04/16 - 01 805-2198002895
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 04/23 - 01 805-1416882216
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 04/24 - 01 805-3063363151
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 04/24 - 02 805-1832570917
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 04/24 - 03 805-6466139568
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 04/25 - 01 805-5698005696
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 04/25 - 02 805-2708138959
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 05/23 - 01 805-1312925531
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 05/23 - 02 805-8096079762
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 05/24 - 01 805-5059289582
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 05/25 - 01 805-7654301155
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 05/25 - 02 805-4253260327
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 06/19 - 02 805-1056879878
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 06/20 - 01 805-9687281720
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 06/20 - 02 805-9359966252
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 06/20 - 03 805-7523747928
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 06/24 - 01 805-2948641491
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 06/24 - 02 805-3344754003
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 06/25 - 01 805-6225619162
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 06/25 - 02 805-1691066958
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 06/25 - 03 805-9386351265
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 06/25 - 04 805-1672901702
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 07/16 - 01 805-7007012134
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 07/20 - 01 805-7084794906
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 07/21 - 01 805-5813484838
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 07/24 - 01 805-2283826199
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 07/25 - 01 805-1463381834
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 08/19 - 01 805-8442908384
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 08/20 - 01 805-1691561156
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 08/20 - 02 805-7663919881
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 08/21 - 04 805-6331128503
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 08/25 - 01 805-2239741819
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 09/21 - 01 805-9966772282
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 09/21 - 02 805-3703253300
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 09/22 - 01 805-7044143362
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 09/22 - 02 805-7383870748
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 09/22 - 03 805-9261341119
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 09/24 - 01 805-4296175897
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 10/19 - 01 805-7969678739
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 10/19 - 02 805-7212880235
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 10/19 - 03 805-3223382334
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 10/20 - 01 805-7268522191
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 10/21 - 01 805-6053561876
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 10/24 - 01 805-1525161421
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 10/24 - 02 805-5743292155
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 10/24 - 03 805-6047459759
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 10/25 - 01 805-4110587358
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 10/25 - 02 805-3346137458
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 11/16 - 01 805-4285760212
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 11/19 - 01 805-8428161468
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 11/25 - 01 805-5973179872
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 12/23 - 01 805-4768609604
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP - 12/23 - 02 805-3212303252
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-01/13-01 805-1051446851
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-01/22-01 805-2760780045
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-02/18-01 805-9870173151
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-02/22-01 805-3741662425
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-02/22-02 805-3875553580
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-04/09-01 805-8008777044
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-04/14-03 805-4278377157
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-05/15-01 805-6520264872
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-05/22-01 805-1754676233
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-06/12-01 805-9223304292
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-06/13-01 805-1234035141
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-06/13-02 805-9280302429
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-06/15-01 805-8706407862
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-07/09-01 805-4516768857
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-07/22-01 805-7784587451
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-08/08-01 805-4702871642
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-08/13-01 805-9749632035
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-08/14-01 805-3428723310
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-08/14-03 805-5087600827
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-08/22-01 805-9846566163
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-08/22-02 805-4354047323
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-11/12-01 805-8149327071
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-11/12-02 805-3654648420
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-11/13-01 805-8410811395
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-11/15-01 805-2755222540
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-11/22-01 805-4873407139
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-11/22-02 805-6466056595
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-11/22-03 805-2698146991
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-12/22-01 805-8753080470
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-12/22-02 805-1363498221
CRYSTAL CAPITAL INTERNATIONAL FUND SPC: SP-12/22-03 805-1013727849
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 01/20 - 01 805-3296666970
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 01/23 - 01 805-1570150395
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 03/24 - 01 805-9074512285
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 05/24 - 02 805-5740984921
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 06/24 - 02 805-1045177675
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 07/24 - 03 805-8932331727
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 07/24 - 04 805-2078812630
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 08/24 - 03 805-4210736918
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 09/22 - 04 805-8432983135
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 09/24 - 01 805-3145855835
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 10/24 - 01 805-6174687758
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 10/24 - 02 805-9391541258
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 10/24 - 03 805-9861844697
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 11/24 - 02 805-7625850196
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 11/24 - 03 805-4039611426
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 12/23 - 01 805-7308005784
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP - 12/23 - 02 805-5931377055
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 01/20 - 02 805-7478765350
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 01/20 - 03 805-2912257363
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 01/21 - 01 805-2478398246
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 01/25 - 01 805-8633638682
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 02/21 - 01 805-5825356808
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 02/21 - 02 805-8222217241
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 03/21 - 01 805-5806196699
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 03/21 - 02 805-1387953075
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 03/25 - 01 805-2099193826
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 03/25 - 02 805-1996121124
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 03/25 - 03 805-1152893264
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 04/25 - 01 805-4637954582
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 04/25 - 02 805-4938471629
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 05/21 - 01 805-7108655123
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 05/21 - 02 805-7164522902
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 06/21 - 01 805-9176193596
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 07/21 - 01 805-4023413679
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 07/21 - 02 805-2013471737
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 07/21 - 03 805-2043049432
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 07/21 - 04 805-7766233351
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 08/21 - 01 805-9365836159
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 08/21 - 02 805-7893631225
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 08/21 - 03 805-6463743672
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 08/21 - 04 805-6007822546
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 09/20 - 01 805-7935014026
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 09/25 - 01 805-4480569187
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 10/20 - 01 805-1767543594
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 10/21 - 01 805-5033062052
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 10/21 - 02 805-3131564427
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 10/21 - 03 805-9078455280
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 10/21 - 04 805-4286163749
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 10/25 - 01 805-4464225755
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 11/25 - 01 805-8718800995
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 12/20 - 01 805-5876051820
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 12/20 - 02 805-3545397725
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 12/21 - 01 805-3191911663
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 12/21 - 02 805-4537187944
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP- 12/21 - 03 805-1781338766
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-01/22-01 805-3805474782
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-01/22-02 805-7727513167
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-01/22-03 805-8538828541
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-02/22-01 805-5794804892
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-02/22-02 805-1173446525
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-02/22-03 805-9274331271
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-02/22-04 805-6083186383
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-02/22-05 805-7189337816
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-03/22-01 805-1831439518
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-03/22-02 805-1291781105
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-03/22-03 805-5622563718
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-03/22-04 805-1557235814
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-04/18-01 805-2256203155
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-04/23-01 805-9279339751
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-04/23-02 805-4341271755
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-05/22-01 805-3063672934
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-06/19-01 805-3804859870
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-06/19-02 805-5197620577
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-06/19-03 805-6565847474
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-06/22-01 805-7802888307
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-06/23-01 805-7917999648
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-06/23-02 805-2515354021
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-07/22-01 805-6413149598
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-07/22-02 805-7922362808
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-07/23-01 805-7011460292
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-08/22-01 805-7483685581
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-08/22-02 805-4735237776
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-08/22-03 805-1250636275
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-08/23-01 805-5187879649
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-08/23-02 805-6014976007
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-09/19-01 805-5208972906
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-09/22-01 805-5088530534
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-09/22-02 805-9286397978
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-09/22-03 805-1930678591
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-10/19-01 805-6156210991
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-10/22-01 805-5949864891
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-11/23-01 805-8731993385
CRYSTAL CAPITAL INTERNATIONAL PRIVATE EQUITY FUND SPC: SP-12/22-01 805-7925578884
Yes No
(c) Is this a "feeder fund" in a master-feeder arrangement?
(d) If yes, what is the name and private fund identification number (if any) of the master fund in which this private fund invests?
Name of private fund:
Private fund identification number:
(include the "805-" prefix also)
NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1) for the master-feeder arrangement or reporting on the funds
separately.
7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions:
No Information Filed
NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement, one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a
"feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single
master fund.
Yes No
8. (a) Is this private fund a "fund of funds"?
NOTE: For purposes of this question only, answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, regardless of whether they are also private funds or
registered investment companies.
(b) If yes, does the private fund invest in funds managed by you or by a related person?
Yes No
9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds," to the
extent provided in Instruction 6.e.)?
10. What type of fund is the private fund?
hedge fund liquidity fund private equity fund real estate fund securitized asset fund venture capital fund Other private fund: HEDGE AND PRIVATE EQUITY FUND
NOTE: For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A.
11. Current gross asset value of the private fund:
$ 459,000,000
Ownership
12. Minimum investment commitment required of an investor in the private fund:
$ 250,000
NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund).
13. Approximate number of the private fund's beneficial owners:
417
14. What is the approximate percentage of the private fund beneficially owned by you and your related persons:
1%
15. (a) What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds:
0%
Yes No
(b) If the private fund qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940, are sales of the fund limited to qualified clients?
16. What is the approximate percentage of the private fund beneficially owned by non-United States persons:
26%
Your Advisory Services
Yes No
17. (a) Are you a subadviser to this private fund?
(b) If the answer to question 17.(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17.(a) is "no," leave this question blank.
No Information Filed
Yes No
18. (a) Do any investment advisers (other than the investment advisers listed in Section 7.B.(1).A.3.(b)) advise the private fund?
(b) If the answer to question 18.(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18.(a) is "no," leave this question blank.
No Information Filed
Yes No
19. Are your clients solicited to invest in the private fund?
NOTE: For purposes of this question, do not consider feeder funds of the private fund.
20. Approximately what percentage of your clients has invested in the private fund?
100%
Private Offering
Yes No
21. Has the private fund ever relied on an exemption from registration of its securities under Regulation D of the Securities Act of 1933?
22. If yes, provide the private fund's Form D file number (if any):
Form D file number
021-134855
021-198485
021-236833
021-260364
021-283536
021-308762
021-327961
021-335677
021-335677
021-335733
021-439756
021-477127
021-477133
021-508826
021-508862
021-574814
021-574822
021-576336
B. SERVICE PROVIDERS
Auditors
Yes No
23. (a) (1) Are the private fund's financial statements subject to an annual audit?
(2) If the answer to question 23.(a)(1) is "yes," are the financial statements prepared in accordance with U.S. GAAP?
If the answer to question 23.(a)(1) is "yes," respond to questions (b) through (h) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each
auditing firm.
Additional Auditor Information : 1 Record(s) Filed.
If the answer to question 23.(a)(1) is "yes," respond to questions (b) through (h) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately
for each auditing firm.
(b) Name of the auditing firm:
ERNST & YOUNG
(c) The location of the auditing firm's office responsible for the private fund's audit (city, state and country):
City: State: Country:
GRAND CAYMAN Cayman Islands
Yes No
(d) Is the auditing firm an independent public accountant?
(e) Is the auditing firm registered with the Public Company Accounting Oversight Board?
If yes, Public Company Accounting Oversight Board-Assigned Number:
1655
(f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules?
Yes No
(g) Are the private fund's audited financial statements for the most recently completed fiscal year distributed to the private fund's investors?
(h) Do all of the reports prepared by the auditing firm for the private fund since your last annual updating amendment contain unqualified opinions?
Yes No Report Not Yet Received
If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available.
Prime Broker
Yes No
24. (a) Does the private fund use one or more prime brokers?
If the answer to question 24.(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete
questions (b) through (e) separately for each prime broker.
No Information Filed
Custodian
Yes No
25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets?
If the answer to question 25.(a) is "yes," respond to questions (b) through (g) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions
(b) through (g) separately for each custodian.
Additional Custodian Information : 1 Record(s) Filed.
If the answer to question 25.(a) is "yes," respond to questions (b) through g) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete
questions (b) through (g) separately for each custodian.
(b) Legal name of custodian:
CHARLES FREDERIC AND CO AS NOMINEE FOR BANK OF NEW YORK MELLON AS CUSTODIAN F/B/O
(c) Primary business name of custodian:
BNY MELLON ALTERNATIVE INVESTMENT SERVICES
(d) The location of the custodian's office responsible for custody of the private fund's assets (city, state and country):
City: State: Country:
NEW YORK New York United States
Yes No
(e) Is the custodian a related person of your firm?
(f) If the custodian is a broker-dealer, provide its SEC registration number (if any):
-
CRD Number (if any):
(g) If the custodian is not a broker-dealer, or is a broker-dealer but does not have an SEC registration number, provide its legal entity identifier (if any)
Administrator
Yes No
26. (a) Does the private fund use an administrator other than your firm?
If the answer to question 26.(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each
administrator.
Additional Administrator Information : 1 Record(s) Filed.
If the answer to question 26.(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for
each administrator.
(b) Name of administrator:
SS&C TECHNOLOGIES, INC.
(c) Location of administrator (city, state and country):
City: State: Country:
NEW YORK New York United States
Yes No
(d) Is the administrator a related person of your firm?
(e) Does the administrator prepare and send investor account statements to the private fund's investors?
Yes (provided to all investors) Some (provided to some but not all investors) No (provided to no investors)
(f) If the answer to question 26.(e) is "no" or "some," who sends the investor account statements to the (rest of the) private fund's investors? If investor account statements are not sent to the (rest
of the) private fund's investors, respond "not applicable."
27. During your last fiscal year, what percentage of the private fund's assets (by value) was valued by a person, such as an administrator, that is not your related person?
100%
Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any, including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor
subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person.
Marketers
Yes No
28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes?
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes," respond to
questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer.
Additional Marketer Information : 6 Record(s) Filed.
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
CAMBRIDGE INVESTMENT RESEARCH, INC.
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
8 - 48740
and CRD Number (if any):
39543
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
FAIRFIELD Iowa United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
COMMERCE STREET CAPITAL, LLC
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
8 - 67606
and CRD Number (if any):
143797
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
DALLAS Texas United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
DEER ISLE CAPITAL, LLC
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
8 - 67803
and CRD Number (if any):
146269
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
NEW YORK New York United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
INTEGRAL WEALTH SECURITIES LLC
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
8 - 47026
and CRD Number (if any):
36143
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
VILLANOVA Pennsylvania United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
SECURITIES AMERICA, INC.
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
8 - 26602
and CRD Number (if any):
10205
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
LA VISTA Nebraska United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
WATERFORD CAPITAL, INC.
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
8 - 39210
and CRD Number (if any):
21687
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
DALLAS Texas United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
A. PRIVATE FUND
Information About the Private Fund
1. (a) Name of the private fund:
CRYSTAL CAPITAL MASTER FUND LLC
(b) Private fund identification number:
(include the "805-" prefix also)
805-7990607836
2. Under the laws of what state or country is the private fund organized:
State: Country:
Delaware United States
3. (a) Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity):
Name of General Partner, Manager, Trustee, or Director
CRYSTAL CAPITAL PARTNERS LLC
(b) If filing an umbrella registration, identify the filing adviser and/or relying adviser(s) that sponsor(s) or manage(s) this private fund.
No Information Filed
4. The private fund (check all that apply; you must check at least one):
(1) qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940
(2) qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940
5. List the name and country, in English, of each foreign financial regulatory authority with which the private fund is registered.
No Information Filed
Yes No
6. (a) Is this a "master fund" in a master-feeder arrangement?
(b) If yes, what is the name and private fund identification number (if any) of the feeder funds investing in this private fund?
Name of private fund Private fund identification number
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 01/21 - 01 805-6656484461
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 01/22 - 02 805-1550887940
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 01/23 - 01 805-6625125014
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 01/24 - 01 805-2983069081
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 01/24 - 02 805-7111993021
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 02/16 - 01 805-4360867874
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 02/20 - 01 805-3106482783
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 02/21 - 01 805-5515795590
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 02/21 - 02 805-9397549512
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 02/23 - 01 805-9810436711
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 02/23 - 02 805-4151464066
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 02/24 - 01 805-1604867738
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 03/21 - 01 805-5307123595
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 03/21 - 03 805-6198283132
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 03/21 - 04 805-4194578108
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 03/23 - 01 805-3213978229
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 03/23 - 02 805-3125244256
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 03/25 - 01 805-7611187694
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 04/19 - 01 805-3181711820
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 04/20 - 01 805-4557969870
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 04/23 - 01 805-8784950838
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 04/23 - 02 805-7620932700
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 04/25 - 01 805-9544169248
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 05/19 - 01 805-4304284823
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 05/20 - 01 805-3227197075
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 05/21 - 03 805-5127306719
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 05/23 - 01 805-5475930047
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 05/24 - 01 805-9322355605
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 05/25 - 02 805-1604455232
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 05/25 - 03 805-8876425234
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 05/25 - 04 805-8978880515
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 06/16 - 01 805-5673534157
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 06/19 - 01 805-2506731615
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 06/20 - 01 805-1484264150
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 06/20 - 02 805-3512999621
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 06/21 - 01 805-3572783574
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 06/23 - 01 805-9620281690
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 06/24 - 01 805-3241810772
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 06/25 - 01 805-8982021897
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 07/16 - 01 805-7410114774
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 07/21 - 01 805-2265697648
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 07/21 - 02 805-5502125862
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 07/23 - 01 805-1530484442
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 07/23 - 02 805-5569892628
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 07/24 - 01 805-6317270424
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 07/24 - 02 805-3617233537
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 07/24 - 03 805-2005237594
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 07/24 - 04 805-2620705751
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 07/24 - 05 805-1319038478
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 07/25 - 01 805-4374326716
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 08/19 - 01 805-4222149684
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 08/19 - 02 805-7602387939
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 08/20 - 01 805-9986780114
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 08/21 - 01 805-5826028817
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 08/23 - 01 805-4279311834
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 08/24 - 02 805-9375266025
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 08/24 - 03 805-4840803767
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 08/25 - 01 805-5316969892
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 08/25 - 02 805-8288511922
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 08/25 - 05 805-1832620856
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 09/20 - 01 805-5923495602
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 09/21 - 01 805-6254595448
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 09/23 - 01 805-1319080250
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 09/24 - 02 805-7592626001
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 09/25 - 01 805-2532859624
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 09/25 - 03 805-8976931089
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 10/19 - 01 805-1198528095
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 10/19 - 02 805-5714646318
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 10/19 - 04 805-2542208599
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 10/20 - 01 805-8460774351
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 10/21 - 01 805-8460670022
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 10/21 - 02 805-2074436241
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 10/24 - 01 805-2660037683
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 10/25 - 01 805-9414394529
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 10/25 - 02 805-9002645103
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 10/25 - 03 805-6441232094
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 11/19 - 01 805-5738007839
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 11/19 - 02 805-1117143960
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 11/21 - 01 805-9036534864
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 11/24 - 01 805-1496817395
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 11/25 - 01 805-2019145986
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 11/25 - 02 805-4485693201
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 12/19 - 01 805-4273867948
CRYSTAL CAPITAL FUND SERIES LLC: SERIES - 12/20 - 01 805-6085998996
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-01/10-01 805-1770946820
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-01/14-01 805-2225089609
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-01/14-04 805-7532233082
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-01/15-03 805-1428744498
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-01/17-02 805-5713329716
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-02/13-01 805-2033671506
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-02/14-02 805-3695275442
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-02/14-04 805-4662054449
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-02/15-02 805-9839821545
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-02/22-01 805-6684441717
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-03/11-03 805-5024067917
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-03/11-04 805-6988266457
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-04/09-01 805-3775653302
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-04/13-01 805-2145721179
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-04/14-05 805-1444132346
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-04/14-09 805-5856566512
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-05/13-02 805-6729365171
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-05/13-04 805-9520348036
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-05/18-01 805-4642859088
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-06/11-01 805-4670654476
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-06/12-01 805-5010001042
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-06/13-01 805-1290538863
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-06/13-02 805-7636526732
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-06/14-01 805-6379798607
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-06/15-04 805-6106380683
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-06/18-01 805-8215734005
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-06/22-01 805-6319121162
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-06/22-02 805-3827208769
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-07/12-01 805-1687718185
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-07/12-03 805-9021984882
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-07/13-02 805-8305382257
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-07/14-02 805-5583008262
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-07/15-01 805-9047071827
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-07/22-01 805-3113983401
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-08/13-01 805-9412954888
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-08/22-01 805-6182760352
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-09/08-01 805-1342072018
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-09/08-02 805-9988472377
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-09/11-01 805-9687060736
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-09/12-01 805-6300468145
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-09/14-02 805-1340457459
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-09/22-01 805-6160858557
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-09/22-02 805-9982538174
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-10/09-01 805-9996970099
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-10/09-03 805-4077578315
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-10/09-04 805-4032563366
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-10/12-01 805-3828382598
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-10/15-01 805-6254828536
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-10/22-01 805-7762426315
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-11/10-01 805-5769457588
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-11/12-01 805-2673100602
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-11/12-03 805-6690168505
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-11/12-04 805-2309694405
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-11/13-01 805-1925919152
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-11/22-01 805-1153348047
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-11/22-02 805-3499782339
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-11/22-03 805-4418989008
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-11/22-04 805-4046080364
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-12/10-01 805-2115019264
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-12/22-01 805-8509818056
CRYSTAL CAPITAL FUND SERIES LLC: SERIES-12/22-02 805-3354010232
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/20 - 01 805-2658602771
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/20 - 02 805-9971168581
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/20 - 03 805-7835094160
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/20 - 04 805-3944003470
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/20 - 05 805-7992785929
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/20 - 06 805-2212748990
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/21 - 01 805-3060177053
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/21 - 02 805-9730044544
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/21 - 03 805-9128517177
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/21 - 04 805-8407804547
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/21 - 05 805-5357790010
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/21 - 06 805-7629768146
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/24 - 01 805-5933356773
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/24 - 02 805-8701051673
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/24 - 03 805-9123340080
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/24 - 04 805-2513470515
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/24 - 05 805-3248353781
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/25 - 02 805-1008650416
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/25 - 03 805-4626537726
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/25 - 04 805-2413691822
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/25 - 05 805-6368796400
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/25 - 06 805-1156535640
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/25 - 07 805-3379218643
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 01/25 - 08 805-3355457544
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/20 - 01 805-8517167505
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/20 - 02 805-6858326348
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/21 - 01 805-9593856448
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/21 - 02 805-4252659785
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/21 - 03 805-2872231343
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/21 - 04 805-5786944195
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/21 - 05 805-7831001871
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/23 - 01 805-9469226804
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/23 - 02 805-1549650894
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/24 - 01 805-1529401571
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/24 - 02 805-7768978814
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/24 - 03 805-1672044646
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/24 - 04 805-5983660311
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/25 - 01 805-3193072596
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/25 - 02 805-9292727382
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 02/25 - 03 805-1974228197
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 03/20 - 01 805-8433949556
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 03/21 - 01 805-8932054589
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 03/21 - 02 805-8841446089
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 03/21 - 03 805-3487396080
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 03/21 - 04 805-7561836998
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 03/23 - 01 805-2587021061
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 03/23 - 02 805-7388503215
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 03/24 - 01 805-5553058289
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 03/24 - 02 805-3083699450
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 03/25 - 01 805-4398123067
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 03/25 - 02 805-1479532046
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 04/20 - 01 805-6152064857
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 04/21 - 01 805-4589693695
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 04/21 - 02 805-1381442230
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 04/23 - 01 805-4211723006
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 04/23 - 02 805-5214248177
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 04/24 - 01 805-8842943997
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 04/24 - 02 805-5953418822
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 04/24 - 03 805-9280402264
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 04/25 - 01 805-2439062281
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 04/25 - 02 805-6024937402
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 05/20 - 01 805-8092744467
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 05/20 - 02 805-3642655827
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 05/21 - 01 805-2809544095
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 05/21 - 02 805-4600470894
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 05/21 - 03 805-3010335177
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 05/23 - 01 805-9717694794
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 05/23 - 02 805-1633492138
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 05/23 - 03 805-8796793264
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 05/24 - 05 805-8718838132
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 05/24 - 06 805-5334446453
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 05/24 - 07 805-8013235613
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 05/24 - 08 805-3214386172
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/20 - 01 805-6227632113
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/21 - 01 805-9316344609
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/21 - 02 805-2012595765
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/21 - 03 805-5826236760
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/21 - 04 805-9402386187
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/23 - 01 805-6889127923
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/23 - 02 805-3879776057
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/23 - 03 805-7553592712
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/23 - 04 805-5240374834
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/23 - 05 805-7220600613
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/24 - 06 805-5391864298
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/24 - 07 805-2119564043
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/24 - 08 805-5659457174
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/25 - 01 805-7117846414
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/25 - 02 805-7929130119
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 06/25 - 03 805-2289232440
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/21 - 01 805-5761783940
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/23 - 01 805-6542214617
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/23 - 02 805-5014253920
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/23 - 04 805-4922318817
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/24 - 07 805-1173117582
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/24 - 08 805-5460622962
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/24 - 09 805-5339390535
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/24 - 10 805-4496389666
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/24 - 11 805-3749823252
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/24 - 12 805-1204834387
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/24 - 13 805-2956764663
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/25 - 01 805-2805455378
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/25 - 02 805-9192566160
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 07/25 - 03 805-2766816201
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/21 - 01 805-8998596362
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/21 - 02 805-3338809839
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/21 - 03 805-1202851152
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/21 - 04 805-1109747035
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/21 - 05 805-9517431575
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/21 - 06 805-2806720400
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/21 - 07 805-1194980218
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/23 - 01 805-3365210412
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/23 - 06 805-9126862547
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/23 - 07 805-7158145149
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/24 - 08 805-8518328367
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/24 - 09 805-1164443811
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/24 - 10 805-9292682554
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/24 - 11 805-1856352391
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/24 - 12 805-9114485129
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/24 - 13 805-7959736258
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 08/25 - 01 805-8483840803
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 09/20 - 01 805-7088395915
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 09/20 - 02 805-2834005133
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 09/20 - 03 805-4006686562
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 09/20 - 04 805-8635483860
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 09/21 - 01 805-3429342836
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 09/21 - 02 805-6319422349
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 09/21 - 03 805-6644380610
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 09/21 - 04 805-3877698482
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 09/24 - 03 805-4953132653
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 09/25 - 01 805-8087464567
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 09/25 - 02 805-9536857737
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 09/25 - 03 805-7648523154
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 09/25 - 04 805-4463507294
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/20 - 01 805-8328056664
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/20 - 02 805-5398980946
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/20 - 03 805-4243080107
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/20 - 04 805-7508900502
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/20 - 05 805-6806904031
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/20 - 06 805-3381341211
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/20 - 07 805-8011202677
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/20 - 08 805-2958165170
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/20 - 09 805-1585361060
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/20 - 10 805-8917378279
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/21 - 01 805-9441849344
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/21 - 03 805-1881477448
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/21 - 04 805-7804809108
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/21 - 05 805-7211722198
CRYSTAL CAPITAL PRIVATE EQUITY FUND SERIES LLC: SERIES - 10/23 - 01 805-6093246114
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Yes No
(c) Is this a "feeder fund" in a master-feeder arrangement?
(d) If yes, what is the name and private fund identification number (if any) of the master fund in which this private fund invests?
Name of private fund:
Private fund identification number:
(include the "805-" prefix also)
NOTE: You must complete question 6 for each master-feeder arrangement regardless of whether you are filing a single Schedule D, Section 7.B.(1) for the master-feeder arrangement or reporting on the funds
separately.
7. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions:
No Information Filed
NOTE: For purposes of questions 6 and 7, in a master-feeder arrangement, one or more funds ("feeder funds") invest all or substantially all of their assets in a single fund ("master fund"). A fund would also be a
"feeder fund" investing in a "master fund" for purposes of this question if it issued multiple classes (or series) of shares or interests, and each class (or series) invests substantially all of its assets in a single
master fund.
Yes No
8. (a) Is this private fund a "fund of funds"?
NOTE: For purposes of this question only, answer "yes" if the fund invests 10 percent or more of its total assets in other pooled investment vehicles, regardless of whether they are also private funds or
registered investment companies.
(b) If yes, does the private fund invest in funds managed by you or by a related person?
Yes No
9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds," to the
extent provided in Instruction 6.e.)?
10. What type of fund is the private fund?
hedge fund liquidity fund private equity fund real estate fund securitized asset fund venture capital fund Other private fund: HEDGE AND PRIVATE EQUITY FUND
NOTE: For definitions of these fund types, please see Instruction 6 of the Instructions to Part 1A.
11. Current gross asset value of the private fund:
$ 837,000,000
Ownership
12. Minimum investment commitment required of an investor in the private fund:
$ 250,000
NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the fund).
13. Approximate number of the private fund's beneficial owners:
720
14. What is the approximate percentage of the private fund beneficially owned by you and your related persons:
10%
15. (a) What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds:
0%
Yes No
(b) If the private fund qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940, are sales of the fund limited to qualified clients?
16. What is the approximate percentage of the private fund beneficially owned by non-United States persons:
0%
Your Advisory Services
Yes No
17. (a) Are you a subadviser to this private fund?
(b) If the answer to question 17.(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17.(a) is "no," leave this question blank.
No Information Filed
Yes No
18. (a) Do any investment advisers (other than the investment advisers listed in Section 7.B.(1).A.3.(b)) advise the private fund?
(b) If the answer to question 18.(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18.(a) is "no," leave this question blank.
No Information Filed
Yes No
19. Are your clients solicited to invest in the private fund?
NOTE: For purposes of this question, do not consider feeder funds of the private fund.
20. Approximately what percentage of your clients has invested in the private fund?
100%
Private Offering
Yes No
21. Has the private fund ever relied on an exemption from registration of its securities under Regulation D of the Securities Act of 1933?
22. If yes, provide the private fund's Form D file number (if any):
Form D file number
021-132880
021-198475
021-236819
021-236824
021-260363
021-260367
021-283535
021-283539
021-308760
021-310275
021-335646
021-335646
021-335697
021-335725
021-335730
021-439751
021-439758
021-477122
021-477124
021-477129
021-508814
021-508833
021-508853
021-574811
021-574813
021-574818
B. SERVICE PROVIDERS
Auditors
Yes No
23. (a) (1) Are the private fund's financial statements subject to an annual audit?
(2) If the answer to question 23.(a)(1) is "yes," are the financial statements prepared in accordance with U.S. GAAP?
If the answer to question 23.(a)(1) is "yes," respond to questions (b) through (h) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each
auditing firm.
Additional Auditor Information : 1 Record(s) Filed.
If the answer to question 23.(a)(1) is "yes," respond to questions (b) through (h) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately
for each auditing firm.
(b) Name of the auditing firm:
ERNST & YOUNG
(c) The location of the auditing firm's office responsible for the private fund's audit (city, state and country):
City: State: Country:
GRAND CAYMAN Cayman Islands
Yes No
(d) Is the auditing firm an independent public accountant?
(e) Is the auditing firm registered with the Public Company Accounting Oversight Board?
If yes, Public Company Accounting Oversight Board-Assigned Number:
1655
(f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules?
Yes No
(g) Are the private fund's audited financial statements for the most recently completed fiscal year distributed to the private fund's investors?
(h) Do all of the reports prepared by the auditing firm for the private fund since your last annual updating amendment contain unqualified opinions?
Yes No Report Not Yet Received
If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available.
Prime Broker
Yes No
24. (a) Does the private fund use one or more prime brokers?
If the answer to question 24.(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete
questions (b) through (e) separately for each prime broker.
No Information Filed
Custodian
Yes No
25. (a) Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets?
If the answer to question 25.(a) is "yes," respond to questions (b) through (g) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions
(b) through (g) separately for each custodian.
Additional Custodian Information : 1 Record(s) Filed.
If the answer to question 25.(a) is "yes," respond to questions (b) through g) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete
questions (b) through (g) separately for each custodian.
(b) Legal name of custodian:
CHARLES FREDERIC AND CO AS NOMINEE FOR BANK OF NEW YORK MELLON AS CUSTODIAN F/B/O
(c) Primary business name of custodian:
BNY MELLON ALTERNATIVE INVESTMENT SERVICES
(d) The location of the custodian's office responsible for custody of the private fund's assets (city, state and country):
City: State: Country:
NEW YORK New York United States
Yes No
(e) Is the custodian a related person of your firm?
(f) If the custodian is a broker-dealer, provide its SEC registration number (if any):
-
CRD Number (if any):
(g) If the custodian is not a broker-dealer, or is a broker-dealer but does not have an SEC registration number, provide its legal entity identifier (if any)
Administrator
Yes No
26. (a) Does the private fund use an administrator other than your firm?
If the answer to question 26.(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each
administrator.
Additional Administrator Information : 1 Record(s) Filed.
If the answer to question 26.(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for
each administrator.
(b) Name of administrator:
SS&C TECHNOLOGIES, INC.
(c) Location of administrator (city, state and country):
City: State: Country:
NEW YORK New York United States
Yes No
(d) Is the administrator a related person of your firm?
(e) Does the administrator prepare and send investor account statements to the private fund's investors?
Yes (provided to all investors) Some (provided to some but not all investors) No (provided to no investors)
(f) If the answer to question 26.(e) is "no" or "some," who sends the investor account statements to the (rest of the) private fund's investors? If investor account statements are not sent to the (rest
of the) private fund's investors, respond "not applicable."
27. During your last fiscal year, what percentage of the private fund's assets (by value) was valued by a person, such as an administrator, that is not your related person?
100%
Include only those assets where (i) such person carried out the valuation procedure established for that asset, if any, including obtaining any relevant quotes, and (ii) the valuation used for purposes of investor
subscriptions, redemptions or distributions, and fee calculations (including allocations) was the valuation determined by such person.
Marketers
Yes No
28. (a) Does the private fund use the services of someone other than you or your employees for marketing purposes?
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes," respond to
questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer.
Additional Marketer Information : 8 Record(s) Filed.
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
CAMBRIDGE INVESTMENT RESEARCH, INC.
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
8 - 48740
and CRD Number (if any):
39543
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
FAIR Iowa United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
COMMERCE STREET CAPITAL, LLC
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
8 - 67606
and CRD Number (if any):
143797
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
DALLAS Texas United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
DEER ISLE CAPITAL, LLC
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
8 - 67803
and CRD Number (if any):
146269
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
NEW YORK New York United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
INTEGRAL WEALTH SECURITIES LLC
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
8 - 47026
and CRD Number (if any):
36143
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
VILLANOVA Pennsylvania United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
SECURITIES AMERICA, INC.
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
8 - 26602
and CRD Number (if any):
10205
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
LA VISTA Nebraska United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
TRIAD ADVISORS, LLC
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
801 - 55518
and CRD Number (if any):
25803
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
NORCROSS Georgia United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
WATERFORD CAPITAL, INC.
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
8 - 39210
and CRD Number (if any):
21687
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
DALLAS Texas United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes,"
respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer, you must complete questions (b) through (g) separately for
each marketer.
Yes No
(b) Is the marketer a related person of your firm?
(c) Name of the marketer:
WORLD EQUITY GROUP, INC.
(d) If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-):
801 - 56328
and CRD Number (if any):
29087
(e) Location of the marketer's office used principally by the private fund (city, state and country):
City: State: Country:
ARLINGTON HEIGHTS Illinois United States
Yes No
(f) Does the marketer market the private fund through one or more websites?
(g) If the answer to question 28.(f) is "yes," list the website address(es):
No Information Filed
Funds per Page: 15 Total Funds: 2
SECTION 7.B.(2) Private Fund Reporting
No Information Filed
Item 8 Participation or Interest in Client Transactions
In this Item, we request information about your participation and interest in your clients' transactions. This information identifies additional areas in which conflicts of interest may occur between you and your clients.
Newly-formed advisers should base responses to these questions on the types of participation and interest that you expect to engage in during the next year.
Like Item 7, Item 8 requires you to provide information about you and your related persons, including foreign affiliates.
Proprietary Interest in Client Transactions
A. Do you or any related person: Yes No
(1) buy securities for yourself from advisory clients, or sell securities you own to advisory clients (principal transactions)?
(2) buy or sell for yourself securities (other than shares of mutual funds) that you also recommend to advisory clients?
(3) recommend securities (or other investment products) to advisory clients in which you or any related person has some other proprietary (ownership) interest (other than those mentioned in Items 8.A.(1)
or (2))?
Sales Interest in Client Transactions
B. Do you or any related person: Yes No
(1) as a broker-dealer or registered representative of a broker-dealer, execute securities trades for brokerage customers in which advisory client securities are sold to or bought from the brokerage
customer (agency cross transactions)?
(2) recommend to advisory clients, or act as a purchaser representative for advisory clients with respect to, the purchase of securities for which you or any related person serves as underwriter or general or
managing partner?
(3) recommend purchase or sale of securities to advisory clients for which you or any related person has any other sales interest (other than the receipt of sales commissions as a broker or registered
representative of a broker-dealer)?
Investment or Brokerage Discretion
C. Do you or any related person have discretionary authority to determine the: Yes No
(1) securities to be bought or sold for a client's account?
(2) amount of securities to be bought or sold for a client's account?
(3) broker or dealer to be used for a purchase or sale of securities for a client's account?
(4) commission rates to be paid to a broker or dealer for a client's securities transactions?
D. If you answer "yes" to C.(3) above, are any of the brokers or dealers related persons?
E. Do you or any related person recommend brokers or dealers to clients?
F. If you answer "yes" to E. above, are any of the brokers or dealers related persons?
G. (1) Do you or any related person receive research or other products or services other than execution from a broker-dealer or a third party ("soft dollar benefits") in connection with client securities
transactions?
(2) If "yes" to G.(1) above, are all the "soft dollar benefits" you or any related persons receive eligible "research or brokerage services" under section 28(e) of the Securities Exchange Act of 1934?
H. (1) Do you or any related person, directly or indirectly, compensate any person that is not an employee for client referrals?
(2) Do you or any related person, directly or indirectly, provide any employee compensation that is specifically related to obtaining clients for the firm (cash or non-cash compensation in addition to the
employee's regular salary)?
I. Do you or any related person, including any employee, directly or indirectly, receive compensation from any person (other than you or any related person) for client referrals?
In your response to Item 8.I., do not include the regular salary you pay to an employee.
In responding to Items 8.H. and 8.I., consider all cash and non-cash compensation that you or a related person gave to (in answering Item 8.H.) or received from (in answering Item 8.I.) any person in exchange for client
referrals, including any bonus that is based, at least in part, on the number or amount of client referrals.
Item 9 Custody
In this Item, we ask you whether you or a related person has custody of client (other than clients that are investment companies registered under the Investment Company Act of 1940) assets and about your custodial
practices.
A. (1) Do you have custody of any advisory clients': Yes No
(a) cash or bank accounts?
(b) securities?
If you are registering or registered with the SEC, answer "No" to Item 9.A.(1)(a) and (b) if you have custody solely because (i) you deduct your advisory fees directly from your clients' accounts, or (ii) a related person has
custody of client assets in connection with advisory services you provide to clients, but you have overcome the presumption that you are not operationally independent (pursuant to Advisers Act rule 206(4)-2(d)(5)) from the
related person.
(2) If you checked "yes" to Item 9.A.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which you have custody:
U.S. Dollar Amount Total Number of Clients
(a) $ 1,296,000,000 (b) 6
If you are registering or registered with the SEC and you have custody solely because you deduct your advisory fees directly from your clients' accounts, do not include the amount of those assets and the number of those
clients in your response to Item 9.A.(2). If your related person has custody of client assets in connection with advisory services you provide to clients, do not include the amount of those assets and number of those clients in
your response to 9.A.(2). Instead, include that information in your response to Item 9.B.(2).
B. (1) In connection with advisory services you provide to clients, do any of your related persons have custody of any of your advisory clients': Yes No
(a) cash or bank accounts?
(b) securities?
You are required to answer this item regardless of how you answered Item 9.A.(1)(a) or (b).
(2) If you checked "yes" to Item 9.B.(1)(a) or (b), what is the approximate amount of client funds and securities and total number of clients for which your related persons have custody:
U.S. Dollar Amount Total Number of Clients
(a) $ (b)
C. If you or your related persons have custody of client funds or securities in connection with advisory services you provide to clients, check all the following that apply:
(1) A qualified custodian(s) sends account statements at least quarterly to the investors in the pooled investment vehicle(s) you manage.
(2) An independent public accountant audits annually the pooled investment vehicle(s) that you manage and the audited financial statements are distributed to the investors in the pools.
(3) An independent public accountant conducts an annual surprise examination of client funds and securities.
(4) An independent public accountant prepares an internal control report with respect to custodial services when you or your related persons are qualified custodians for client funds and securities.
If you checked Item 9.C.(2), C.(3) or C.(4), list in Section 9.C. of Schedule D the accountants that are engaged to perform the audit or examination or prepare an internal control report. (If you checked Item 9.C.(2), you do not
have to list auditor information in Section 9.C. of Schedule D if you already provided this information with respect to the private funds you advise in Section 7.B.(1) of Schedule D).
D. Do you or your related person(s) act as qualified custodians for your clients in connection with advisory services you provide to clients? Yes No
(1) you act as a qualified custodian
(2) your related person(s) act as qualified custodian(s)
If you checked "yes" to Item 9.D.(2), all related persons that act as qualified custodians (other than any mutual fund transfer agent pursuant to rule 206(4)-2(b)(1)) must be identified in Section 7.A. of Schedule D, regardless
of whether you have determined the related person to be operationally independent under rule 206(4)-2 of the Advisers Act.
E. If you are filing your annual updating amendment and you were subject to a surprise examination by an independent public accountant during your last fiscal year, provide the date (MM/YYYY) the examination
commenced:
F. If you or your related persons have custody of client funds or securities, how many persons, including, but not limited to, you and your related persons, act as qualified custodians for your clients in connection with
advisory services you provide to clients?
1
SECTION 9.C. Independent Public Accountant
You must complete the following information for each independent public accountant engaged to perform a surprise examination, perform an audit of a pooled investment vehicle that you manage, or prepare an internal
control report. You must complete a separate Schedule D Section 9.C. for each independent public accountant.
(1) Name of the independent public accountant:
ERNST & YOUNG
(2) The location of the independent public accountant's office responsible for the services provided:
Number and Street 1: Number and Street 2:
SUITE 6401, 62 FORUM LANE CAMANA BAY
City: State: Country: ZIP+4/Postal Code:
GRAND CAYMAN Cayman Islands KY1-1106
Yes No
(3) Is the independent public accountant registered with the Public Company Accounting Oversight Board?
If "yes," Public Company Accounting Oversight Board-Assigned Number:
1655
(4) If "yes" to (3) above, is the independent public accountant subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules?
(5) The independent public accountant is engaged to:
A. audit a pooled investment vehicle
B. perform a surprise examination of clients' assets
C. prepare an internal control report
(6) Since your last annual updating amendment, did all of the reports prepared by the independent public accountant that audited the pooled investment vehicle or that examined internal controls contain unqualified
opinions?
Yes
No
Report Not Yet Received
If you check "Report Not Yet Received", you must promptly file an amendment to your Form ADV to update your response when the accountant's report is available.
Item 10 Control Persons
In this Item, we ask you to identify every person that, directly or indirectly, controls you. If you are filing an umbrella registration, the information in Item 10 should be provided for the filing adviser only.
If you are submitting an initial application or report, you must complete Schedule A and Schedule B. Schedule A asks for information about your direct owners and executive officers. Schedule B asks for information about
your indirect owners. If this is an amendment and you are updating information you reported on either Schedule A or Schedule B (or both) that you filed with your initial application or report, you must complete Schedule
C.
Yes No
A. Does any person not named in Item 1.A. or Schedules A, B, or C, directly or indirectly, control your management or policies?
If yes, complete Section 10.A. of Schedule D.
B. If any person named in Schedules A, B, or C or in Section 10.A. of Schedule D is a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934, please complete Section 10.B. of
Schedule D.
SECTION 10.A. Control Persons
No Information Filed
SECTION 10.B. Control Person Public Reporting Companies
No Information Filed
Item 11 Disclosure Information
In this Item, we ask for information about your disciplinary history and the disciplinary history of all your advisory affiliates. We use this information to determine whether to grant your application for registration, to decide
whether to revoke your registration or to place limitations on your activities as an investment adviser, and to identify potential problem areas to focus on during our on-site examinations. One event may result in "yes"
answers to more than one of the questions below. In accordance with General Instruction 5 to Form ADV, "you" and "your" include the filing adviser and all relying advisers under an umbrella registration.
Your advisory affiliates are: (1) all of your current employees (other than employees performing only clerical, administrative, support or similar functions); (2) all of your officers, partners, or directors (or any person
performing similar functions); and (3) all persons directly or indirectly controlling you or controlled by you. If you are a "separately identifiable department or division" (SID) of a bank, see the Glossary of Terms to determine
who your advisory affiliates are.
If you are registered or registering with the SEC or if you are an exempt reporting adviser, you may limit your disclosure of any event listed in Item 11 to ten years following the date of the event. If you are registered or registering
with a state, you must respond to the questions as posed; you may, therefore, limit your disclosure to ten years following the date of an event only in responding to Items 11.A.(1), 11.A.(2), 11.B.(1), 11.B.(2), 11.D.(4), and 11.H.
(1)(a). For purposes of calculating this ten-year period, the date of an event is the date the final order, judgment, or decree was entered, or the date any rights of appeal from preliminary orders, judgments, or decrees lapsed.
You must complete the appropriate Disclosure Reporting Page ("DRP") for "yes" answers to the questions in this Item 11.
Yes No
Do any of the events below involve you or any of your supervised persons?
For "yes" answers to the following questions, complete a Criminal Action DRP:
A. In the past ten years, have you or any advisory affiliate: Yes No
(1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?
(2) been charged with any felony?
If you are registered or registering with the SEC, or if you are reporting as an exempt reporting adviser, you may limit your response to Item 11.A.(2) to charges that are currently pending.
B. In the past ten years, have you or any advisory affiliate:
(1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false
statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?
(2) been charged with a misdemeanor listed in Item 11.B.(1)?
If you are registered or registering with the SEC, or if you are reporting as an exempt reporting adviser, you may limit your response to Item 11.B.(2) to charges that are currently pending.
For "yes" answers to the following questions, complete a Regulatory Action DRP:
C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: Yes No
(1) found you or any advisory affiliate to have made a false statement or omission?
(2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?
(3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
(4) entered an order against you or any advisory affiliate in connection with investment-related activity?
(5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?
D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority:
(1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?
(2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
(3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
(4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?
(5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related
business or restricted your or any advisory affiliate's activity?
E. Has any self-regulatory organization or commodities exchange ever:
(1) found you or any advisory affiliate to have made a false statement or omission?
(2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?
(3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
(4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or
otherwise restricting your or the advisory affiliate's activities?
F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?
G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?
For "yes" answers to the following questions, complete a Civil Judicial Action DRP:
H. (1) Has any domestic or foreign court: Yes No
(a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?
(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?
(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?
(2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H.(1)?
Item 12 Small Businesses
The SEC is required by the Regulatory Flexibility Act to consider the effect of its regulations on small entities. In order to do this, we need to determine whether you meet the definition of "small business" or "small
organization" under rule 0-7.
Answer this Item 12 only if you are registered or registering with the SEC and you indicated in response to Item 5.F.(2)(c) that you have regulatory assets under management of less than $25 million. You are not required
to answer this Item 12 if you are filing for initial registration as a state adviser, amending a current state registration, or switching from SEC to state registration.
For purposes of this Item 12 only:
Total Assets refers to the total assets of a firm, rather than the assets managed on behalf of clients. In determining your or another person's total assets, you may use the total assets shown on a current balance
sheet (but use total assets reported on a consolidated balance sheet with subsidiaries included, if that amount is larger).
Control means the power to direct or cause the direction of the management or policies of a person, whether through ownership of securities, by contract, or otherwise. Any person that directly or indirectly has the
right to vote 25 percent or more of the voting securities, or is entitled to 25 percent or more of the profits, of another person is presumed to control the other person.
Yes No
A. Did you have total assets of $5 million or more on the last day of your most recent fiscal year?
If "yes," you do not need to answer Items 12.B. and 12.C.
B. Do you:
(1) control another investment adviser that had regulatory assets under management (calculated in response to Item 5.F.(2)(c) of Form ADV) of $25 million or more on the last day of its most recent fiscal
year?
(2) control another person (other than a natural person) that had total assets of $5 million or more on the last day of its most recent fiscal year?
C. Are you:
(1) controlled by or under common control with another investment adviser that had regulatory assets under management (calculated in response to Item 5.F.(2)(c) of Form ADV) of $25 million or more on
the last day of its most recent fiscal year?
(2) controlled by or under common control with another person (other than a natural person) that had total assets of $5 million or more on the last day of its most recent fiscal year?
Schedule A
Direct Owners and Executive Officers
1. Complete Schedule A only if you are submitting an initial application or report. Schedule A asks for information about your direct owners and executive officers. Use Schedule C to amend this information.
2. Direct Owners and Executive Officers. List below the names of:
(a) each Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Legal Officer, Chief Compliance Officer(Chief Compliance Officer is required if you are registered or applying for registration and
cannot be more than one individual), director, and any other individuals with similar status or functions;
(b) if you are organized as a corporation, each shareholder that is a direct owner of 5% or more of a class of your voting securities, unless you are a public reporting company (a company subject to Section 12 or 15(d)
of the Exchange Act);
Direct owners include any person that owns, beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 5% or more of a class of your voting securities. For purposes of this Schedule, a
person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law,
or sister-in-law, sharing the same residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security.
(c) if you are organized as a partnership, all general partners and those limited and special partners that have the right to receive upon dissolution, or have contributed, 5% or more of your capital;
(d) in the case of a trust that directly owns 5% or more of a class of your voting securities, or that has the right to receive upon dissolution, or has contributed, 5% or more of your capital, the trust and each trustee;
and
(e) if you are organized as a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have contributed, 5% or more of your capital, and (ii) if managed by elected
managers, all elected managers.
3. Do you have any indirect owners to be reported on Schedule B? Yes No
4. In the DE/FE/I column below, enter "DE" if the owner is a domestic entity, "FE" if the owner is an entity incorporated or domiciled in a foreign country, or "I" if the owner or executive officer is an individual.
5. Complete the Title or Status column by entering board/management titles; status as partner, trustee, sole proprietor, elected manager, shareholder, or member; and for shareholders or members, the class of
securities owned (if more than one is issued).
6. Ownership codes are: NA - less than 5% B - 10% but less than 25% D - 50% but less than 75%
A - 5% but less than 10% C - 25% but less than 50% E - 75% or more
7. (a) In the Control Person column, enter "Yes" if the person has control as defined in the Glossary of Terms to Form ADV, and enter "No" if the person does not have control. Note that under this definition, most executive
officers and all 25% owners, general partners, elected managers, and trustees are control persons.
(b) In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.
(c) Complete each column.
FULL LEGAL NAME (Individuals: Last Name, First Name, DE/FE/I Title or Status Date Title or Status Acquired Ownership Control PR CRD No. If None: S.S. No. and Date of Birth, IRS Tax No. or
Middle Name) MM/YYYY Code Person Employer ID No.
THE BROD FAMILY 2012 TRUST DE MEMBER 01/2012 D Y N
STRAUSS FAMILY 2012 TRUST DE MEMBER 01/2012 C N N
HOYER, MICHAEL, ANDREW I CHIEF COMPLIANCE 04/2010 NA Y N 4512759
OFFICER
BROD, STEVEN, HOWARD I CHIEF EXECUTIVE 01/2011 NA Y N 5063448
OFFICER
BROD, NATALIE, DANIELA I DIRECTOR OF 01/2012 NA Y N 5465098
MARKETING
Schedule B
Indirect Owners
1. Complete Schedule B only if you are submitting an initial application or report. Schedule B asks for information about your indirect owners; you must first complete Schedule A, which asks for information about your
direct owners. Use Schedule C to amend this information.
2. Indirect Owners. With respect to each owner listed on Schedule A (except individual owners), list below:
(a) in the case of an owner that is a corporation, each of its shareholders that beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 25% or more of a class of a voting security of that
corporation;
For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law,
daughter-in-law, brother-in-law, or sister-in-law, sharing the same residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the
security.
(b) in the case of an owner that is a partnership, all general partners and those limited and special partners that have the right to receive upon dissolution, or have contributed, 25% or more of the partnership's
capital;
(c) in the case of an owner that is a trust, the trust and each trustee; and
(d) in the case of an owner that is a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have contributed, 25% or more of the LLC's capital, and (ii) if managed by
elected managers, all elected managers.
3. Continue up the chain of ownership listing all 25% owners at each level. Once a public reporting company (a company subject to Sections 12 or 15(d) of the Exchange Act) is reached, no further ownership information
need be given.
4. In the DE/FE/I column below, enter "DE" if the owner is a domestic entity, "FE" if the owner is an entity incorporated or domiciled in a foreign country, or "I" if the owner is an individual.
5. Complete the Status column by entering the owner's status as partner, trustee, elected manager, shareholder, or member; and for shareholders or members, the class of securities owned (if more than one is issued).
6. Ownership codes are: C - 25% but less than 50% E - 75% or more
D - 50% but less than 75% F - Other (general partner, trustee, or elected manager)
7. (a) In the Control Person column, enter "Yes" if the person has control as defined in the Glossary of Terms to Form ADV, and enter "No" if the person does not have control. Note that under this definition, most
executive officers and all 25% owners, general partners, elected managers, and trustees are control persons.
(b) In the PR column, enter "PR" if the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.
(c) Complete each column.
FULL LEGAL NAME (Individuals: Last Name, First DE/FE/I Entity in Which Interest Status Date Status Acquired Ownership Control PR CRD No. If None: S.S. No. and Date of Birth, IRS Tax No.
Name, Middle Name) is Owned MM/YYYY Code Person or Employer ID No.
BROD, STEVEN, HOWARD I THE BROD FAMILY 2012 MEMBER'S 01/2012 E Y N 5063448
TRUST TRUSTEE
BROD, NATALIE, DANIELA I STRAUSS FAMILY 2012 MEMBER'S 01/2012 E N N 5465098
TRUST TRUSTEE
Schedule D - Miscellaneous
You may use the space below to explain a response to an Item or to provide any other information.
As a note to 7.B.(1) Section A number 20, there are 2 master-feeder structures and each master fund has 2 feeder funds, all of which are clients. All clients' funds are invested in both master-feeder structures
representing 100% of clients' assets in the private funds.
Schedule R
No Information Filed
DRP Pages
CRIMINAL DISCLOSURE REPORTING PAGE (ADV)
No Information Filed
REGULATORY ACTION DISCLOSURE REPORTING PAGE (ADV)
No Information Filed
CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (ADV)
No Information Filed
Part 2
Exemption from brochure delivery requirements for SEC-registered advisers
SEC rules exempt SEC-registered advisers from delivering a firm brochure to some kinds of clients. If these exemptions excuse you from delivering a brochure to all of your advisory clients, you do not have to prepare a
brochure.
Yes No
Are you exempt from delivering a brochure to all of your clients under these rules?
If no, complete the ADV Part 2 filing below.
Amend, retire or file new brochures:
Brochure ID Brochure Name Brochure Type(s)
274171 CRYSTAL CAPITAL PARTNERS, LLC ADV Private funds or pools
PART 2A BROCHURE
381638 CRYSTAL CAPITAL PARTNERS, LLC ADV Private funds or pools
PART 2B BROCHURE
Part 3
CRS Type(s) Affiliate Info Retire
There are no CRS filings to display.
Execution Pages
DOMESTIC INVESTMENT ADVISER EXECUTION PAGE
You must complete the following Execution Page to Form ADV. This execution page must be signed and attached to your initial submission of Form ADV to the SEC and all amendments.
Appointment of Agent for Service of Process
By signing this Form ADV Execution Page, you, the undersigned adviser, irrevocably appoint the Secretary of State or other legally designated officer, of the state in which you maintain your principal office and place of
business and any other state in which you are submitting a notice filing, as your agents to receive service, and agree that such persons may accept service on your behalf, of any notice, subpoena, summons, order
instituting proceedings, demand for arbitration, or other process or papers, and you further agree that such service may be made by registered or certified mail, in any federal or state action, administrative proceeding or
arbitration brought against you in any place subject to the jurisdiction of the United States, if the action, proceeding, or arbitration (a) arises out of any activity in connection with your investment advisory business that
is subject to the jurisdiction of the United States, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the
Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these acts, or (ii) the laws of the state in which you maintain your principal office and place of business or
of any state in which you are submitting a notice filing.
Signature
I, the undersigned, sign this Form ADV on behalf of, and with the authority of, the investment adviser. The investment adviser and I both certify, under penalty of perjury under the laws of the United States of America,
that the information and statements made in this ADV, including exhibits and any other information submitted, are true and correct, and that I am signing this Form ADV Execution Page as a free and voluntary act.
I certify that the adviser's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having custody or possession of these books and records to make them
available to federal and state regulatory representatives.
Signature: Date: MM/DD/YYYY
MICHAEL HOYER 03/31/2026
Printed Name: Title:
MICHAEL HOYER CHIEF FINANCIAL OFFICER
Adviser CRD Number:
146010
NON-RESIDENT INVESTMENT ADVISER EXECUTION PAGE
You must complete the following Execution Page to Form ADV. This execution page must be signed and attached to your initial submission of Form ADV to the SEC and all amendments.
1. Appointment of Agent for Service of Process
By signing this Form ADV Execution Page, you, the undersigned adviser, irrevocably appoint each of the Secretary of the SEC, and the Secretary of State or other legally designated officer, of any other state in which
you are submitting a notice filing, as your agents to receive service, and agree that such persons may accept service on your behalf, of any notice, subpoena, summons, order instituting proceedings, demand for
arbitration, or other process or papers, and you further agree that such service may be made by registered or certified mail, in any federal or state action, administrative proceeding or arbitration brought against you in
any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with your investment advisory business that is subject to the jurisdiction of the
United States, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or
the Investment Advisers Act of 1940, or any rule or regulation under any of these acts, or (ii) the laws of any state in which you are submitting a notice filing.
2. Appointment and Consent: Effect on Partnerships
If you are organized as a partnership, this irrevocable power of attorney and consent to service of process will continue in effect if any partner withdraws from or is admitted to the partnership, provided that the
admission or withdrawal does not create a new partnership. If the partnership dissolves, this irrevocable power of attorney and consent shall be in effect for any action brought against you or any of your former
partners.
3. Non-Resident Investment Adviser Undertaking Regarding Books and Records
By signing this Form ADV, you also agree to provide, at your own expense, to the U.S. Securities and Exchange Commission at its principal office in Washington D.C., at any Regional or District Office of the Commission,
or at any one of its offices in the United States, as specified by the Commission, correct, current, and complete copies of any or all records that you are required to maintain under Rule 204-2 under the Investment
Advisers Act of 1940. This undertaking shall be binding upon you, your heirs, successors and assigns, and any person subject to your written irrevocable consents or powers of attorney or any of your general partners
and managing agents.
Signature
I, the undersigned, sign this Form ADV on behalf of, and with the authority of, the non-resident investment adviser. The investment adviser and I both certify, under penalty of perjury under the laws of the United States
of America, that the information and statements made in this ADV, including exhibits and any other information submitted, are true and correct, and that I am signing this Form ADV Execution Page as a free and
voluntary act.
I certify that the adviser's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having custody or possession of these books and records to make them
available to federal and state regulatory representatives.
Signature: Date: MM/DD/YYYY
Printed Name: Title:
Adviser CRD Number:
146010