K2/D&S MANAGEMENT CO., L.L.C.
Adviser information for K2/D&S MANAGEMENT CO., L.L.C. last updated from Form ADV on January 8th, 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 | SEPTEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 55 |
|---|---|
| Investment Advisory/Research | 21 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 73 | $9.5B |
| Non-Discretionary | 0 | $0 |
| Total | 73 | $9.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $765.2M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 51 | $6.4B |
| Pension and profit sharing plans | 18 | $2.2B |
| Charitable organizations | 1 | $27.2M |
| State or municipal gov entities | 1 | $27.2M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 1 | $118.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 6 |
| No. of Non-U.S. Clients | 77 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)FUNDS OF HEDGE FUND ADVISORY AND MANAGEMENT SERVICES |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-61852 |
|---|---|
| SEC ERA File Number | 801-61852 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 123826 |
| Legal Entity Identifier | 549300QDD1I1J3WB6C41 |
Principal Office
300 ATLANTIC STREET 12TH FL.STAMFORD
CT
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 203-348-5252, Fax: 203-359-6369
Websites
Chief Compliance Officer
BJORN A. DAVIS
300 ATLANTIC STREET
12TH FLOOR
STAMFORD
CT
United States
Tel:
203-905-5348
Fax:
203-504-1348
B**********@********************M
(Full email address available in API data)
Regulatory Contact
ROBIN M. OSTLUND
DEPUTY CHIEF COMPLIANCE OFFICER
300 ATLANTIC STREET
12TH FLOOR
STAMFORD
CT
United States
Tel:
203-905-5376
Fax:
203-504-1376
R************@********************M
(Full email address available in API data)
Industry Affiliates
| ALCENTRA LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| ALCENTRA NY, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BENEFIT STREET PARTNERS L.L.C. | Other investment adviser, including financial planners |
| BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (ASIA) PTE. LTD | Other investment adviser, including financial planners |
| BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| BSP CLO MANAGEMENT LLC | Other investment adviser, including financial planners |
| CLARION PARTNERS | Other investment adviser, including financial planners |
| CLARION PARTNERS EMEA LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLARION PARTNERS EUROPE (U.K.) LIMITED | Other investment adviser, including financial planners |
| CLARION PARTNERS EUROPE LIMITED | Other investment adviser, including financial planners |
| CLARION PARTNERS SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLEARBRIDGE INVESTMENTS (NORTH AMERICA) PTY LIMITED | Other investment adviser, including financial planners |
| CLEARBRIDGE INVESTMENTS LIMITED | Other investment adviser, including financial planners |
| CLEARBRIDGE INVESTMENTS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CLEARBRIDGE RARE INFRASTRUCTURE INTERNATIONAL PTY LIMITED | Other investment adviser, including financial planners |
| DARBY ASIA INVESTORS (HK), LTD. | Other investment adviser, including financial planners |
| DARBY ASIA INVESTORS, LTD. | Other investment adviser, including financial planners |
| DARBY ASIA OPPORTUNITIES FUND III MANAGEMENT CO., LTD. | Sponsor, GP, manager of pooled investment vehicles |
| DARBY LATIN AMERICAN INVESTORS, LTD. | Sponsor, GP, manager of pooled investment vehicles |
| DARBY OVERSEAS PARTNERS, L.P. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FIDUCIARY TRUST COMPANY OF CANADA | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorTrust company |
| FIDUCIARY TRUST INTERNATIONAL LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FIDUCIARY TRUST INTERNATIONAL OF THE SOUTH | Commodity pool operator or commodity trading advisorBanking or thrift institutionTrust company |
| FIDUCIARY TRUST INTERNATIONAL, LLC | Other investment adviser, including financial planners |
| FRANKLIN ADVISERS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN ADVISORY SERVICES, LLC | Other investment adviser, including financial planners |
| FRANKLIN BSP CAPITAL ADVISER LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN BSP LENDING ADVISER, L.L.C. | Other investment adviser, including financial planners |
| FRANKLIN DISTRIBUTORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FRANKLIN MDP GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FRANKLIN MUTUAL ADVISERS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON ALTS BRASIL ADMIN. DE INVESTIMENTOS LTDA. | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON ASSET MANAGEMENT (MALAYSIA) SDN. BHD. | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON ASSET MANAGEMENT MEXICO, S.A. DE C.V., SOCIEDAD OPERADORA DE SOCIEDADES DE INVERSION | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON FINANCIAL SERVICES CORP. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FRANKLIN TEMPLETON FRANCE S.A. | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON FUND ADVISER, LLC | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON FUND MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON GSC ASSET MANAGEMENT SDN. BHD. | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON INSTITUTIONAL, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON INTERNATIONAL SERVICES S.A R.L. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON INVESTIMENTOS (BRASIL) LTDA. | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON INVESTMENT ADVISORS KOREA CO., LTD. | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON INVESTMENT ADVISORS KOREA CO., LTD. ( NAME CHANGE FROM FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LT | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON INVESTMENT TRUST MANAGEMENT CO., LTD. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| FRANKLIN TEMPLETON INVESTMENTS AUSTRALIA LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON INVESTMENTS CORP. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON JAPAN CO., LTD. | Other investment adviser, including financial planners |
| FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FRANKLIN TEMPLETON REAL ESTATE ADVISORS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FRANKLIN TEMPLETON REAL ESTATE ADVISORS II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FRANKLIN TEMPLETON REAL ESTATE ADVISORS IIIA GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FRANKLIN TEMPLETON REAL ESTATE ADVISORS IIIB GP, S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| FRANKLIN TEMPLETON SOCIAL INFRASTRUCTURE GP, S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| FRANKLIN TEMPLETON TRUSTEE SERVICES PRIVATE LIMITED | Trust company |
| FRANKLIN/TEMPLETON DISTRIBUTORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| HOLOWESKO PARTNERS LTD. | Other investment adviser, including financial planners |
| K2 ADVISORS, L.L.C. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| LEGG MASON (CHILE) INVERSIONES HOLDINGS LIMITADA | Other investment adviser, including financial planners |
| LEXINGTON ADVISORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| LEXINGTON PARTNERS L.P. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MARTIN CURRIE INC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| O'SHAUGHNESSY ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
| ROYCE FUND SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ROYCE INVESTMENT PARTNERS | Other investment adviser, including financial planners |
| TEMPLETON ASSET MANAGEMENT (POLAND) TFI S.A. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| TEMPLETON ASSET MANAGEMENT LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| TEMPLETON GLOBAL ADVISORS LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| TEMPLETON HANA ASSET MANAGEMENT CO., LTD. (NAME CHANGE FROM DARBY HANA INFRASTRUCTURE FUND MANAGEMENT CO., LTD.) | Other investment adviser, including financial planners |
| TEMPLETON INVESTMENT COUNSEL, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| VIKING GP, LTD. | Sponsor, GP, manager of pooled investment vehicles |
| WESTERN ASSET MANAGEMENT COMPANY | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| WESTERN ASSET MANAGEMENT COMPANY DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS LIMITADA | Other investment adviser, including financial planners |
| WESTERN ASSET MANAGEMENT COMPANY LIMITED | Other investment adviser, including financial planners |
| WESTERN ASSET MANAGEMENT COMPANY LTD | Other investment adviser, including financial planners |
| WESTERN ASSET MANAGEMENT COMPANY PTE LTD | Other investment adviser, including financial planners |
| WESTERN ASSET MANAGEMENT COMPANY PTY LTD | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| K2 ACTUSRAYPARTNERS EUROPEAN MASTER FUND LTD | Hedge Fund | $437.0M | $1.0M | 1 |
| K2 APOLLO LIQUID CREDIT MASTER FUND LTD. | Hedge Fund | $421.6M | $1.0M | 1 |
| K2 ASCENT LLC - K2 AKO PARTNERS SERIES | Hedge Fund | $63.3M | $1.0M | 15 |
| K2 ASCENT LLC - K2 ENGAGED CAPITAL FLAGSHIP FUND SERIES | Hedge Fund | $56.8M | $1.0M | 10 |
| K2 ASCENT LLC - K2 IMPACTIVE CAPITAL FUND SERIES | Hedge Fund | $26.0M | $1.0M | 6 |
| K2 ASCENT LLC - K2 JET CAPITAL CONCENTRATED FUND SERIES | Hedge Fund | $49.3M | $1.0M | 14 |
| K2 ASCENT LLC - K2 REDMILE CAPITAL FUND SERIES | Hedge Fund | $50.1M | $1.0M | 21 |
| K2 ASCENT LLC - K2 SOUTHPOINT QUALIFIED FUND SERIES | Hedge Fund | $71.7M | $1.0M | 15 |
| K2 ASCENT LLC - K2 SQN INVESTORS FUND SERIES | Hedge Fund | $17.2M | $1.0M | 18 |
| K2 ASCENT LLC - K2 STARBOARD VALUE AND OPPORTUNITY FUND SERIES | Hedge Fund | $56.9M | $1.0M | 9 |
| K2 ASCENT LLC - K2 SUVRETTA PARTNERS SERIES | Hedge Fund | $3.0M | $1.0M | 0 |
| K2 ASCENT LLC - K2 SWIFTCURRENT SERIES | Hedge Fund | $2.6M | $1.0M | 0 |
| K2 ASCENT LLC - K2 TREMBLANT PARTNERS SERIES | Hedge Fund | $56.8M | $1.0M | 15 |
| K2 ASCENT LLC - K2 TRIAN PARTNERS SERIES | Hedge Fund | $0.0M | $1.0M | 0 |
| K2 CHRONOS FUND SPC - K2 THESEUS FUND SP | Hedge Fund | $31.9M | $1.0M | 1 |
| K2 CUSTOM SOLUTIONS HOSPITAL SISTERS FUND, LTD. | Hedge Fund | $234.3M | $0.0M | 2 |
| K2 ELECTRON LIQUID GLOBAL MASTER FUND LTD. | Hedge Fund | $229.7M | $0.1M | 1 |
| K2 ELLINGTON LIQUID CREDIT MASTER FUND LTD | Hedge Fund | $217.9M | $1.0M | 1 |
| K2 FS CUSTOM SOLUTIONS FUND LTD. | Hedge Fund | $41.7M | $0.1M | 1 |
| K2 GCM LIQUID QUANT MACRO MASTER FUND LTD | Hedge Fund | $247.9M | $0.1M | 1 |
| K2 HOLDINGS INVESTMENT CORPORATION | Hedge Fund | $49.2M | $0.0M | 1 |
| K2 IBT LOCAL 710 PENSION PLAN DEF LTD | Hedge Fund | $68.1M | $200.0M | 1 |
| K2 ILS FUND, LTD. | Hedge Fund | $2.4M | $0.1M | 11 |
| K2 INSTITUTIONAL INVESTORS II LTD. | Hedge Fund | $48.5M | $0.3M | 1 |
| K2 LAZARD LIQUID CONVERTIBLES PLUS MASTER FUND LTD | Hedge Fund | $374.1M | $0.1M | 1 |
| K2 LOGICA TAIL RISK MASTER FUND LTD | Hedge Fund | $285.7M | $1.0M | 1 |
| K2 MASTER FUND LTD. | Hedge Fund | $335.1M | $0.1M | 1 |
| K2 ONE RIVER LIQUID RESPONSE MASTER FUND LTD | Hedge Fund | $596.1M | $1.0M | 1 |
| K2 OVERSEAS INVESTORS I, LTD. | Hedge Fund | $327.9M | $0.3M | 3 |
| K2 PSAM EVENT MASTER FUND LTD | Hedge Fund | $190.9M | $1.0M | 1 |
| K2 PSC LIQUID MASTER FUND LTD | Hedge Fund | $1,215.0M | $1.0M | 1 |
| K2 PYXIS FUND LTD. | Hedge Fund | $35.2M | $1.0M | 4 |
| K2 RV LIQUID ASIA FIXED INCOME MASTER FUND LTD | Hedge Fund | $296.6M | $0.1M | 1 |
| PRUDENCE CRANDALL FUND IV, LLC | Hedge Fund | $27.2M | $0.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| K2 ADVISORS HOLDINGS, LLC | Domestic Entity | K2 ADVISORS SUBSIDIARY HOLDINGS, LLC | 100% OWNER | 04/2007 | > 75% |
| DAVIS, BJORN, ANTHONY | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2011 | < 5% |
| FRANKLIN TEMPLETON INSTITUTIONAL, LLC | Domestic Entity | K2 ADVISORS HOLDINGS, LLC | 100% OWNER | 11/2012 | > 75% |
| FRANKLIN RESOURCES, INC. | Domestic Entity | FRANKLIN TEMPLETON INSTITUTIONAL, LLC | PARENT ORGANIZATION: 100% | 10/2012 | > 75% |
| K2 ADVISORS HOLDINGS, LLC | Domestic Entity | – | 100% OWNER | 05/2013 | > 75% |
| KANDIEW, ANDREW | Individual | – | CHIEF OPERATING OFFICER | 01/2024 | < 5% |