Hedge Fund Database

ALPHASIMPLEX GROUP, LLC

Adviser information for ALPHASIMPLEX GROUP, LLC last updated from Form ADV on March 27th, 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 44
Investment Advisory/Research 19
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 4

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 13 $4.5B
Non-Discretionary 0 $0
Total 13 $4.5B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 4 $2.8B
Business development companies 0 $0
Pooled investment vehicles 5 $1.4B
Pension and profit sharing plans <5 $150.9M
Charitable organizations 0 $0
State or municipal gov entities <5 $211.4M
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses <5 $10.6M
Other 0 $0
Type Number
No. of Non-RAUM Clients 2
No. of Non-U.S. Clients 36

Services

Advisory Services Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsMODEL PORTFOLIOS
Compensation % of AUMPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-62448
SEC ERA File Number 801-62448
SEC CIK Numbers 1387941
SEC CRD Numbers 128356
Legal Entity Identifier LU8SRV9ICT5E29588H39

Principal Office

200 STATE STREET
BOSTON
MA
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 617-475-7100, Fax: None

Websites

www.linkedin.com/company/alphasimplex vimeo.com/user20785577 www.alphasimplex.com portal.alphasimplex.com

Chief Compliance Officer

ARNOUT M. EIKEBOOM
CHIEF COMPLIANCE OFFICER
200 STATE STREET
BOSTON
MA
United States
Tel: 617.475.7100
(Full email address available in API data)

Regulatory Contact

CHRISTOPHER J. DAHLBERG
DEPUTY CHIEF COMPLIANCE OFFICER
200 STATE STREET
BOSTON
MA
United States
Tel: 617.475.7100
(Full email address available in API data)

Industry Affiliates

ALPHASIMPLEX GP, LLC Sponsor, GP, manager of pooled investment vehicles
CEREDEX VALUE ADVISORS LLC Other investment adviser, including financial planners
DUFF & PHELPS INVESTMENT MANAGEMENT CO. Other investment adviser, including financial planners
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC Other investment adviser, including financial planners
NFJ INVESTMENT GROUP, LLC Other investment adviser, including financial planners
SEIX CLO MANAGEMENT GP LLC Sponsor, GP, manager of pooled investment vehicles
SEIX CLO MANAGEMENT LLC Other investment adviser, including financial planners
SILVANT CAPITAL MANAGEMENT LLC Other investment adviser, including financial planners
SUSTAINABLE GROWTH ADVISERS, LP Other investment adviser, including financial planners
VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
VIRTUS ETF ADVISERS LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
VIRTUS FIXED INCOME ADVISERS, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
VIRTUS FUND ADVISERS, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
VIRTUS GLOBAL PARTNERS PTE. LTD. Other investment adviser, including financial planners
VIRTUS INTERNATIONAL FUND MANAGEMENT LIMITED Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
VIRTUS INTERNATIONAL MANAGEMENT LLP Other investment adviser, including financial planners
VIRTUS INVESTMENT ADVISERS, INC. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
VP DISTRIBUTORS LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
WESTCHESTER CAPITAL MANAGEMENT, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
WESTCHESTER CAPITAL PARTNERS, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
ADAPTIVE TREND FUND, L.P. Hedge Fund $938.5M $5.0M 10

Control Persons

Name Type Entity Title Since Ownership
EIKEBOOM, ARNOUT, MICHIEL Individual – CHIEF COMPLIANCE OFFICER 03/2005 < 5%
WILKINSON, DUNCAN, BORGER ELLERTON Individual – PRESIDENT 10/2007 < 5%
GOOCH, JENNIFER, CHAMBERLAIN Individual – HEAD OF BUSINESS FINANCE AND OPERATIONS 05/2019 < 5%
VIRTUS PARTNERS, INC. Domestic Entity – MEMBER 04/2023 > 75%
VIRTUS INVESTMENT PARTNERS, INC. Domestic Entity VIRTUS PARTNERS, INC. SOLE SHAREHOLDER 11/2008 > 75%
AYLWARD, GEORGE, ROBERT Individual – CHIEF EXECUTIVE OFFICER OF VIRTUS INVESTMENT PARTNERS, INC. 04/2023 < 5%
PURKALITIS, ANDRA, CYNTHIA Individual – EXECUTIVE VICE PRESIDENT AND CHIEF LEGAL OFFICER OF VIRTUS INVESTMENT PARTNERS, INC. 11/2023 < 5%

No. Employees, Historic

50250201920202021202220232024202548 on 5/31/201948 on 7/26/201948 on 9/10/201949 on 3/27/202049 on 8/3/202049 on 1/8/202149 on 1/26/202144 on 3/31/202144 on 6/21/202144 on 7/9/202144 on 7/14/202144 on 3/31/202244 on 9/23/202244 on 11/3/202241 on 3/22/202341 on 4/11/202341 on 4/11/202341 on 5/3/202341 on 7/31/202341 on 12/6/202344 on 3/27/2024

RAUM, Historic

6B3B020192020202120222023202420254568251114 on 5/31/20194568251114 on 7/26/20194568251114 on 9/10/20194144507871 on 3/27/20204144507871 on 8/3/20204144507871 on 1/8/20214144507871 on 1/26/20213727018665 on 3/31/20213727018665 on 6/21/20213727018665 on 7/9/20213727018665 on 7/14/20213971969428 on 3/31/20223971969428 on 9/23/20223971969428 on 11/3/20225775837398 on 3/22/20235775837398 on 4/11/20235775837398 on 4/11/20235775837398 on 5/3/20235775837398 on 7/31/20235775837398 on 12/6/20234522777264 on 3/27/2024

No. Clients, Historic

20100201920202021202220232024202516 on 5/31/201916 on 7/26/201916 on 9/10/201911 on 3/27/202011 on 8/3/202011 on 1/8/202111 on 1/26/202110 on 3/31/202110 on 6/21/202110 on 7/9/202110 on 7/14/20219 on 3/31/20229 on 9/23/20229 on 11/3/20229 on 3/22/20239 on 4/11/20239 on 4/11/20239 on 5/3/20239 on 7/31/20239 on 12/6/20239 on 3/27/2024

Holdings

From latest 13F, filed November 8th, 2022 for period ending September 30th, 2022
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 255 2K –
AECOM COM 222 3K –
AMETEK INC COM 213 2K –
APPLE INC COM 204 1K –
CHANGE HEALTHCARE INC COM 233 8K –
COLGATE PALMOLIVE CO COM 280 4K –
DUKE REALTY CORP COM NEW 917 19K –
DYNEX CAP INC COM 142 12K –
FASTENAL CO COM 424 9K –
FIRSTENERGY CORP COM 226 6K –
FTI CONSULTING INC COM 223 1K –
GILEAD SCIENCES INC COM 463 8K –
GOLUB CAP BDC INC COM 194 16K –
HANESBRANDS INC COM 122 18K –
HEARTLAND EXPRESS INC COM 229 16K –
HERSHEY CO COM 279 1K –
HOME DEPOT INC COM 294 1K –
ILLINOIS TOOL WKS INC COM 267 1K –
IRONWOOD PHARMACEUTICALS INC COM CL A 109 11K –
LAKELAND BANCORP INC COM 809 51K –
LOCKHEED MARTIN CORP COM 209 541 –
MARSH & MCLENNAN COS INC COM 233 2K –
MDU RES GROUP INC COM 253 9K –
MGIC INVT CORP WIS COM 130 10K –
MICROSOFT CORP COM 281 1K –
PAYCHEX INC COM 244 2K –
PRIMO WATER CORPORATION COM 136 11K –
ROPER TECHNOLOGIES INC COM 201 558 –
T-MOBILE US INC COM 318 2K –
TARGET CORP COM 237 2K –
TESLA INC COM 252 951 –
UNITED PARCEL SERVICE INC CL B 344 2K –
UNITEDHEALTH GROUP INC COM 457 905 –
WALMART INC COM 346 3K –
WESTERN UN CO COM 138 10K –