CROSS SOUND MANAGEMENT LLC
Adviser information for CROSS SOUND MANAGEMENT LLC last updated from Form ADV on March 23rd, 2023. 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 | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 | – |
|---|---|
| Compensation | – |
Identifiers
| SEC RIA File Number | 802-121073 |
|---|---|
| SEC ERA File Number | 802-121073 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 284343 |
| Legal Entity Identifier | 549300CT6G3AD6KWJA89 |
Principal Office
10 WESTPORT ROAD, BUILDING CSUITE 202
WILTON
CT
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 203-529-1680, Fax: None
Chief Compliance Officer
HELEN L. FRANCIS
10 WESTPORT ROAD, BUILDING C
SUITE 202
WILTON
CT
United States
Tel:
203-529-1680
L*****@**************M
(Full email address available in API data)
Industry Affiliates
| CROSS SOUND CAPITAL PARTNERS LLC | Sponsor, GP, manager of pooled investment vehicles |
| SIERENTZ NORTH AMERICA LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| SIRENE ASSET MANAGEMENT LP | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CROSS SOUND DISTRESSED OPPORTUNITIES FUND, L.P. WITH RESPECT TO SERIES 1 | Hedge Fund | $53.4M | $5.0M | 4 |
| CROSS SOUND DISTRESSED OPPORTUNITIES FUND, L.P. WITH RESPECT TO SERIES 3 | Hedge Fund | $19.5M | $5.0M | 10 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SIRENE ASSET MANAGEMENT LTD | Domestic Entity | SIRENE MANAGEMENT INC | SHAREHOLDER | 06/2011 | > 75% |
| FRANCIS, HELEN, LOVELY | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2016 | < 5% |
| THE STAR OF KAYALOV TRUST IV | Domestic Entity | STEIN, DAVID, ANDREW | MEMBER | 12/2013 | > 75% |
| SIRENE MANAGEMENT INC. | Domestic Entity | SIERENTZ MANAGEMENT GP LLC | MANAGING MEMBER | 06/2011 | > 75% |
| SIRENE MANAGEMENT INC. | Domestic Entity | – | MANAGING MEMBER | 01/2022 | > 75% |
| Lesson, Mark, David | Individual | – | CHIEF RISK OFFICER | 06/2021 | < 5% |
| STEIN, DAVID, ANDREW | Individual | THE STAR OF KAYALOV TRUST IV | TRUSTEE | 01/2022 |