LOGAN STONE

LOGAN STONE CAPITAL LLC Legal Name

Adviser information for LOGAN STONE last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	3
Investment Advisory/Research	3
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	0
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	1

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	21	$805.4M
Non-Discretionary	0	$0
Total	21	$805.4M

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	14	$13.8M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	7	$791.6M
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0

Services

Advisory Services	Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles
Compensation	% of AUMPerformance-based fees
Other Business Activities	Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number	801-120099
SEC ERA File Number	801-120099
SEC CIK Numbers	1535521
SEC CRD Numbers	311547
Legal Entity Identifier	5493003N4761MFRRCC58

Principal Office

200 S WACKER DRIVE
SUITE 2650
CHICAGO
IL
United States

Monday - Friday, 9AM - 5PM

Tel: 312-858-1670, Fax: None

Websites

www.loganstonecap.com

Chief Compliance Officer

WALTER CLARK

200 S WACKER DRIVE

SUITE 2650

CHICAGO

United States

Tel: 630 699 5613

W*****@**********M

(Full email address available in API data)

Industry Affiliates

BUCKEYE-PACIFIC	Other investment adviser, including financial planners
IRON ROAD CAPITAL PARTNERS	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
LEDYARD CAPITAL	Other investment adviser, including financial planners
LOGAN STONE MANAGERS LLC	Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
RAIL-SPLITTER	Other investment adviser, including financial planners
WINCHESTER ASSET MANAGEMENT, LLC	Other investment adviser, including financial planners

Private Funds

Name	Type	Assets $USD	Min Investment $USD	No. Owners
LOGAN STONE CAPITAL LP	Hedge Fund	$132.8M	$0.3M	49
LOGAN STONE CAPITAL QP LP	Hedge Fund	$419.6M	$0.3M	84

Control Persons

Name	Type	Entity	Title	Since	Ownership
HERMAN, MATTHEW, ANDREWS	Individual	–	MANAGING MEMBER	07/2007	25-50%
LEFFLER, MATTHEW, DURAND	Individual	–	MEMBER	12/2014	25-50%
CLARK, WALTER, HENRY	Individual	–	CHIEF COMPLIANCE OFFICER	12/2020	< 5%

No. Employees, Historic

RAUM, Historic

No. Clients, Historic

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024

Name	Class	Value $USD	# Shares	Private Fund
A SPAC II ACQUISITION CORP	ORD SHS CL A	921K	82K	–
ABRDN GLOBAL DYNAMIC DIVIDEN	COM	1M	106K	–
ABRDN JAPAN EQUITY FUND INC	COM	212K	36K	–
ABRDN NATL MUN INCOME FD	SH BEN INT	2M	189K	–
ABRDN TOTAL DYNAMIC DIVIDEND	COM SH BEN INT	3M	319K	–
ALLIANCEBERNSTEIN NATL MUN I	COM	2M	221K	–
ALLSPRING GLOBAL DIVIDEND OP	COM	531K	109K	–
ALLSPRING MULTI SECTOR INCOM	COM	113K	13K	–
ALLSPRING UTILITIES AND HIGH	WF UTILITIES INC	375K	38K	–
APX ACQUISITION CORP I	CLASS A ORD SHS	3M	252K	–
BEL FUSE INC	CL B	633K	10K	–
BLACKROCK ENHANCED EQUITY DI	COM	345K	42K	–
BLACKROCK ENHANCED GLOBAL DI	COM	361K	34K	–
BLACKROCK HEALTH SCIENCES TE	COM SHS	2M	115K	–
BLACKROCK HEALTH SCIENCES TR	COM	600K	15K	–
BLACKROCK INNOVATION AND GRW	SHS BEN INT	352K	49K	–
BLACKROCK MUN INCOME QUALITY	COM	282K	25K	–
BLACKROCK MUN INCOME TR	SH BEN INT	989K	97K	–
BLACKROCK MUN TARGET TERM TR	COM SHS BEN IN	14M	671K	–
BLACKROCK MUNI INCOME TR II	COM	498K	46K	–
BLACKROCK MUNICIPAL INCOME	COM	670K	54K	–
BLACKROCK MUNIHLDGS NJ QLTY	COM	272K	24K	–
BLACKROCK MUNIHLDGS NY QLTY	COM	2M	144K	–
BLACKROCK MUNIHLDNGS CALI QL	COM	1M	99K	–
BLACKROCK MUNIHOLDINGS FD IN	COM	4M	313K	–
BLACKROCK MUNIHOLDINGS QUALI	COM	4M	366K	–
BLACKROCK MUNIVEST FD II INC	COM	2M	169K	–
BLACKROCK MUNIVEST FD INC	COM	2M	335K	–
BLACKROCK MUNIYIELD MICH QU	COM	3M	241K	–
BLACKROCK MUNIYIELD N Y QUAL	COM	2M	233K	–
BLACKROCK MUNIYIELD QUALITY	COM	1M	115K	–
BLACKROCK N Y MUN INCOME TRU	SH BEN INT	2M	178K	–
BLACKROCK VA MUN BD TR	COM	132K	12K	–
BNY MELLON MUN BD INFRASTRUC	COM SHS	5M	481K	–
BNY MELLON MUN INCOME INC	COM	2M	307K	–
BNY MELLON STRATEGIC MUN BD	COM	4M	731K	–
BNY MELLON STRATEGIC MUNS IN	COM	7M	1M	–
BROOKFIELD REAL ASSETS INCOM	SHS BEN INT	2M	160K	–
BUKIT JALIL GBL ACQUISITION	ORD SHS	2M	154K	–
BYNORDIC ACQUISITION CORP	CLASS A COM	1M	108K	–
CALAMOS LNG SHR EQT DYNAMIC	COM	336K	22K	–
CARTESIAN GROWTH CORP II	CLASS A ORD	282K	25K	–
CENTRAL GARDEN & PET CO	CL A NON-VTG	8M	256K	–
CETUS CAP ACQUISITION CORP	CLASS A COM	695K	65K	–
CLEARWAY ENERGY INC	CL A	3M	133K	–
CLIMATEROCK	CLASS A ORD	1M	99K	–
CSLM ACQUISITION CORP	CLASS A ORD SHS	2M	140K	–
DTF TAX-FREE INCOME 2028 TER	COM	877K	80K	–
DWS MUN INCOME TR NEW	COM	6M	653K	–
DWS STRATEGIC MUN INCOME TR	COM	2M	211K	–
EATON VANCE CALIF MUN BD FD	COM	3M	350K	–
EATON VANCE CALIF MUN INCOM	SH BEN INT	1M	97K	–
EATON VANCE MUN BD FD	COM	227K	21K	–
EATON VANCE NEW YORK MUN BD	COM	510K	52K	–
EATON VANCE TAX ADVT DIV INC	COM	440K	19K	–
EATON VANCE TAX-MANAGED GLOB	COM	3M	393K	–
EATON VANCE TAX-MANAGED GLOB	COM	4M	430K	–
EATON VANCE TX ADV GLBL DIV	COM	2M	89K	–
ECOFIN SUSTAINABLE AND SOCIA	COM SH BEN INT	2M	192K	–
EUROPEAN EQUITY FD INC	COM	117K	13K	–
FEDERAL AGRIC MTG CORP	CL A	372K	3K	–
FEDERATED HERMES PREM MUNI I	COM	1M	124K	–
FIDELITY WISE ORIGIN BITCOIN	SHS	6M	120K	–
FLAHERTY & CRUMRINE PFD SECS	COM	462K	31K	–
GABELLI DIVID & INCOME TR	COM	5M	208K	–
GABELLI HLTHCARE & WELLNESS	SHS	713K	74K	–
GENERAL AMERN INVS CO INC	COM	3M	65K	–
GENERATION ASIA I ACQUISITIO	CL A ORD SHS	1M	100K	–
HANCOCK JOHN TAX-ADVANTAGED	COM	622K	31K	–
HEICO CORP NEW	CL A	1M	8K	–
HERZFELD CARIBBEAN BASIN FD	COM	379K	161K	–
INDIA FD INC	COM	784K	44K	–
INTEGRATED WELLNESS ACQ CORP	ORD SHS CL A	341K	29K	–
INVESCO ADVANTAGE MUN INCOME	SH BEN INT	3M	308K	–
INVESCO CALIF VALUE MUN INCO	COM	5M	527K	–
INVESCO EXCH TRADED FD TR II	SR LN ETF	2M	98K	–
INVESCO HIGH INCOME 2024 TAR	COM	544K	74K	–
INVESCO MUN OPPORTUNITY TR	COM	3M	273K	–
INVESCO MUNICIPAL TRUST	COM	3M	292K	–
INVESCO PA VALUE MUN INC TR	COM	1M	127K	–
INVESCO QUALITY MUN INCOME T	COM	5M	504K	–
INVESCO TR INVT GRADE MUNS	COM	2M	222K	–
INVESCO TR INVT GRADE NEW YO	COM	1M	130K	–
INVESCO VALUE MUN INCOME TR	COM	6M	448K	–
INVESTCORP INDIA ACQUISTN CO	CLASS A ORD SHS	2M	162K	–
ISHARES BITCOIN TR	SHS	31M	912K	–
ISHARES INC	MSCI AUST ETF	660K	27K	–
ISHARES TR	JPMORGAN USD EMG	3M	36K	–
ISHARES TR	MSCI EMG MKT ETF	937K	22K	–
JAPAN SMALLER CAPITALIZATION	COM	480K	63K	–
JOHN HANCOCK HEDGED EQUITY &	COM	711K	68K	–
LEARN CW INVESTMENT COR	CL A ORD SHS	3M	258K	–
LIBERTY BROADBAND CORP	COM SER C	7M	126K	–
LIONS GATE ENTMNT CORP	CL B NON VTG	3M	299K	–
MEXICO FD INC	COM	1M	70K	–
MFS HIGH INCOME MUN TR	SH BEN INT	1M	289K	–
MFS HIGH YIELD MUN TR	SH BEN INT	891K	260K	–
MFS INVT GRADE MUN TR	SH BEN INT	699K	88K	–
MFS MUN INCOME TR	SH BEN INT	2M	296K	–
MORGAN STANLEY INDIA INVT FD	COM	1M	42K	–
MOUNTAIN & CO I ACQUISITN CO	CLASS A ORD	2M	184K	–
NEUBERGER BERMAN MUN FD INC	COM	4M	371K	–
NEW AMER HIGH INCOME FD INC	COM NEW	355K	48K	–
NEW GERMANY FD INC	COM	785K	97K	–
NEWS CORP NEW	CL A	416K	15K	–
NUVEEN AMT FREE MUN CR INC F	COM	9M	708K	–
NUVEEN AMT FREE QLTY MUN INC	COM	5M	417K	–
NUVEEN ARIZONA QLTY MUN INC	COM	1M	102K	–
NUVEEN CA QUALTY MUN INCOME	COM	8M	691K	–
NUVEEN CALIFORNIA MUNI VLU F	COM STK	151K	17K	–
NUVEEN DOW 30 DYNMC OVERWRT	SHS	461K	33K	–
NUVEEN MASSACHUSETS QLT MUN	COM	397K	36K	–
NUVEEN MINN QUALITY MUN INM	SHS	289K	25K	–
NUVEEN MISSOURI QLT MUN INC	COM	139K	13K	–
NUVEEN MUN VALUE FD INC	COM	584K	68K	–
NUVEEN MUNICIPAL CREDIT INC	COM SH BEN INT	3M	205K	–
NUVEEN NASDAQ 100 DYNAMIC OV	COM SHS	3M	133K	–
NUVEEN NEW JERSEY QULT MUN F	COM	3M	268K	–
NUVEEN NEW YORK QLT MUN INC	COM	5M	417K	–
NUVEEN PENNSYLVANIA QLT MUN	COM	5M	418K	–
NUVEEN QUALITY MUNCP INCOME	COM	19M	2M	–
NUVEEN SELECT MAT MUN FD	SH BEN INT	623K	69K	–
NUVEEN VIRGINIA QLTY MUNCPL	COM	562K	49K	–
PERCEPTION CAPITAL CORP III	CLASS A ORD SHS	2M	168K	–
PGIM SHORT DUR HIG YLD OPP F	COM	458K	30K	–
PIMCO CALIF MUN INCOME FD	COM	1M	122K	–
PIMCO CALIF MUN INCOME FD II	COM	83K	12K	–
PIMCO CALIF MUN INCOME FD II	COM	2M	286K	–
PIMCO NEW YORK MUN FD II	COM	612K	83K	–
PIMCO NEW YORK MUN INCOME FD	COM	444K	75K	–
PIONEER MUNICIPAL HIGH INCOM	COM	1M	137K	–
PUTNAM MUN OPPORTUNITIES TR	SH BEN INT	824K	80K	–
READING INTL INC	CL A	38K	27K	–
RIVERNORTH MANAGED DUR MUN I	COM	1M	73K	–
ROYCE MICRO-CAP TR INC	COM	345K	38K	–
ROYCE SMALL CAP TRUST INC	COM	342K	24K	–
SABA CAPITAL INCOME & OPRNT	SHS NEW	105K	15K	–
SLAM CORP	CL A SHS	595K	53K	–
SPDR SER TR	BLOOMBERG HIGH Y	40M	429K	–
SPDR SER TR	BBG CONV SEC ETF	5M	75K	–
SSGA ACTIVE ETF TR	BLACKSTONE SENR	9M	217K	–
SWISS HELVETIA FD INC	COM	163K	20K	–
TECHNOLOGY & TELECOM ACQ COR	CLASS A ORD SHS	1M	96K	–
TEMPLETON EMERGING MKTS FD	COM	789K	64K	–
TENX KEANE ACQUISITION	ORD SHS	3M	243K	–
THORNBURG INCM BUILDER OPP T	COM	861K	53K	–
TORTOISEECOFIN ACQUISITION C	SHS CL A	6M	520K	–
TRISTAR ACQUISITION I CORP	CL A ORD SHS	223K	20K	–
URBAN ONE INC	CL D NON VTG	20K	13K	–
VALUENCE MERGER CORP I	CLASS A ORD SHS	176K	15K	–
VANECK ETF TRUST	GOLD MINERS ETF	343K	10K	–
VANGUARD CHARLOTTE FDS	TOTAL INT BD ETF	482K	10K	–
VANGUARD INDEX FDS	REAL ESTATE ETF	550K	7K	–
WESTERN ASSET INTER MUNI FD	COM	1M	151K	–
WESTERN ASSET MANAGED MUNS F	COM	2M	208K	–