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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

IVY ASSET MANAGEMENT LLC

CRD 107831

UNIONDALE, NY

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Data as of May 16, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 82
Dated events: 0
On other graphs: 2
Observed: Dec 16, 2011 to May 16, 2012
6 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

IVY Asset Management LLC

Private equity manager · shared crd

Private Creditidentity

IVY ASSET MANAGEMENT LLC

Private credit manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $206MItem 5.F on the latest filing (2012-05-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $206M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 53
Private funds: 53Schedule D 7.B(1)
Private fund GAV: $292Mgross asset value as reported per fund; never fund size
Custody, client assets: $136M
SEC number: 801-45776
CRD: 107831
Filings on the tape: 6
First filed: Dec 16, 2011
Latest filed: May 16, 2012
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31; showing 25 of 53

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
IVY MAPLEWOOD ASSOCIATES II, LP	Hedge Fund	$34.1M	May 16, 2012	93	Mar 26, 2012	reported	n/a
MAPLEWOOD C.I. LIMITED	Hedge Fund	$31.5M	May 16, 2012	1	Mar 26, 2012	reported	n/a
IVY CLARUS CI, LTD.	Hedge Fund	$22.6M	May 16, 2012	21	Mar 26, 2012	reported	n/a
IVY PARTNERS FUND I, LLC	Hedge Fund	$21.3M	May 16, 2012	168	Mar 26, 2012	reported	n/a
IVY DEFENDERS FUND, L.P.	Hedge Fund	$20.6M	May 16, 2012	204	Mar 26, 2012	reported	n/a
IVY CLARUS ASSOCIATES II, LLC	Hedge Fund	$17.6M	May 16, 2012	65	Mar 26, 2012	reported	n/a
IVY CLARUS ASSOCIATES, L.P.	Hedge Fund	$9.4M	May 16, 2012	162	Mar 26, 2012	reported	n/a
DEFENDERS FUND LIQUIDATING TRUST	Hedge Fund	$9.3M	May 16, 2012	410	Mar 26, 2012	reported	n/a
IVY SELECT PLC/IVY CLARUS DIVERSIFIED FEEDER FUND	Hedge Fund	$8.0M	May 16, 2012	6	Mar 26, 2012	reported	n/a
IVY CLARUS DIVERSIFIED, LTD.	Hedge Fund	$6.8M	May 16, 2012	2	Mar 26, 2012	reported	n/a
IVY MAPLEWOOD ASSOCIATES, LP	Hedge Fund	$6.6M	May 16, 2012	40	Mar 26, 2012	reported	n/a
IVY MULTI-MANAGER HEDGE FUND SPV 9/09, LTD.	Hedge Fund	$5.7M	May 16, 2012	9	Mar 26, 2012	reported	n/a
IVY ROSEWOOD OFFSHORE FUND SPV, LTD	Hedge Fund	$5.5M	May 16, 2012	17	Mar 26, 2012	reported	n/a
IVY MULTI MANAGER HEDGE FUND LLC	Hedge Fund	$5.3M	May 16, 2012	58	Mar 26, 2012	reported	n/a
IVY RISING STARS FUND LP	Hedge Fund	$5.3M	May 16, 2012	69	Mar 26, 2012	reported	n/a
IVY MULTI-MANAGER HEDGE FUND SPV 12/09 TRUST	Hedge Fund	$5.3M	May 16, 2012	34	Mar 26, 2012	reported	n/a
IVY PARTNERS FUND I, LTD	Hedge Fund	$5.2M	May 16, 2012	51	Mar 26, 2012	reported	n/a
IVY CLARUS US, LLC	Hedge Fund	$4.7M	May 16, 2012	5	Mar 26, 2012	reported	n/a
IVY RISING STARS OFFSHORE FUND SPV 3/09, LTD	Hedge Fund	$4.6M	May 16, 2012	54	Mar 26, 2012	reported	n/a
IVY MULTI MANAGER HEDGE FUND LTD	Hedge Fund	$4.6M	May 16, 2012	47	Mar 26, 2012	reported	n/a
IVY SENTINEL INTERNATIONAL FUND SPV 12/08, LTD	Hedge Fund	$4.2M	May 16, 2012	6	Mar 26, 2012	reported	n/a
IVY DEFENDERS 1099 DOMESTIC ACCESS FUND LLC	Hedge Fund	$3.4M	May 16, 2012	1	Mar 26, 2012	reported	n/a
IVY SPECTRUM LLC	Hedge Fund	$3.2M	May 16, 2012	9	Mar 26, 2012	reported	n/a
IVY DISTRESSED OPPORTUNITIES FUND LLC	Hedge Fund	$3.0M	May 16, 2012	26	Mar 26, 2012	reported	n/a
IVY DF/CL ACCESS FUND, LLC	Hedge Fund	$3.0M	May 16, 2012	1	Mar 26, 2012	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALTERNATIVE HOLDINGS I, LLC	100% OWNER OF IVY ASSET MANAGEMENT LLC	E	yes	01/2009	Dec 16, 2011	May 16, 2012
ALTERNATIVE HOLDINGS II, LLC	100% OWNER OF ALTERNATIVE HOLDINGS I, LLC	E	yes	12/2008	Dec 16, 2011	May 16, 2012
BILLERBECK, CHARLES, J.	Manager	Na	yes	03/2012	Mar 26, 2012	May 16, 2012
GRAF, THOMAS, CARL	Manager	Na	yes	05/2011	Dec 16, 2011	May 16, 2012
SCHLICHT, CHRISTINE, ELIZABETH	CHIEF COMPLIANCE OFFICER	Na	yes	10/2010	Dec 16, 2011	May 16, 2012
SQUASONI, DOUGLAS, WADE	CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER	Na	yes	04/2010	Dec 16, 2011	May 16, 2012
THE BANK OF NEW YORK MELLON CORPORATION	100% OWNER OF ALTERNATIVE HOLDINGS II, LLC	E	yes	12/2008	Dec 16, 2011	May 16, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 94

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MELLON CAPITAL MANAGEMENT CORPORATION	n/a	Asset manager	$874B	N	yes	n/a
THE DREYFUS CORPORATION	n/a	Asset manager	$419B	N	yes	n/a
PARETO NEW YORK LLC	n/a	Other adviser	$171B	N	yes	n/a
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC	n/a	Former SEC adviser	$130B	N	yes	n/a
WALTER SCOTT & PARTNERS LIMITED	n/a	Other adviser	$67B	N	yes	n/a
NEWTON CAPITAL MANAGEMENT LTD	n/a	Asset manager	$42B	N	yes	n/a
LOCKWOOD ADVISORS INC	n/a	Bank affiliated wealth	$33B	N	yes	n/a
ALCENTRA LIMITED	n/a	Asset manager	$23B	N	yes	n/a
THE BOSTON COMPANY ASSET MANAGEMENT LLC	n/a	Former SEC adviser	$20B	N	yes	n/a
ALCENTRA NY, LLC	n/a	Asset manager	$14B	N	yes	n/a
MBSC SECURITIES CORPORATION	n/a	Other adviser	$8.4B	N	yes	n/a
URDANG SECURITIES MANAGEMENT INC	n/a	Former SEC adviser	$7.9B	N	yes	n/a
HEDGEMARK ADVISORS, LLC	n/a	Former SEC adviser	$7.1B	N	yes	n/a
PARETO INVESTMENT MANAGEMENT LIMITED	n/a	Former SEC adviser	$3.0B	N	yes	n/a
BNY MELLON ARX INVESTIMENTOS LTDA	n/a	Former SEC adviser	$1.9B	N	yes	n/a
EACM ADVISORS LLC	n/a	Former SEC adviser	$617M	N	yes	n/a
URDANG CAPITAL MANAGEMENT INC	n/a	Former SEC adviser	$577M	N	yes	n/a
MELLON HEDGE ADVISORS, LLC	n/a	Former SEC adviser	$0	N	yes	n/a
13 ADVISORS INC	n/a	n/a	n/a	N	yes	n/a
ACN 003 231 829 LIMITED	n/a	n/a	n/a	N	yes	n/a
ALCENTRA MANAGEMENT (IRELAND) LIMITED	n/a	n/a	n/a	N	yes	n/a
ATIVOS LTDA	n/a	n/a	n/a	N	yes	n/a
BANK OF NEW YORK MELLON	n/a	n/a	n/a	N	yes	n/a
BIRCHWOOD ASSOCIATES MANAGEMENT, LLC	n/a	n/a	n/a	Y	yes	n/a
BNY MELLON ADMINISTRACAO DE ATIVOS LTDA	n/a	n/a	n/a	N	yes	n/a
BNY MELLON ALOCACAO DE PATRIMONIO LTDA	n/a	n/a	n/a	N	yes	n/a
BNY MELLON AM KOREA	n/a	n/a	n/a	N	yes	n/a
BNY MELLON ASSET MANAGEMENT (UK) LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON ASSET MANAGEMENT AUSTRALIA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON ASSET MANAGEMENT CANADA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON ASSET MANAGEMENT HONG KONG LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON CAPITAL MARKETS EMEA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON CAPITAL MARKETS, LLC	n/a	n/a	n/a	N	yes	n/a
BNY MELLON FUND MANAGERS LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON GLOBAL MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INTERNATIONAL ASSET MANAGEMENT GROUP LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INTERNATIONAL MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON KOREA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON NATIONAL ASSOCIATION	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 26, 2012	$206M	$206M	n/a	n/a	n/a	53	$292M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$206M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

showing 80 of 82

Affiliated with (21)

← CONVERGEX EXECUTION SOLUTIONS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ THE BOSTON COMPANY ASSET MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ BNY MELLON INVESTMENT ADVISER, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
→ MELLON INVESTMENTS CORPORATIONRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ BNY MELLON ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, common control
factForm ADV
→ CENTERSQUARE INVESTMENT MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ NEWTON INVESTMENT MANAGEMENT LTDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ WALTER SCOTT & PARTNERS LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ STANDISHRegistered adviserother investment adviser, bank, common control
factForm ADV
→ BSP NY LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ EACM ADVISORS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MELLON HEDGE ADVISORSRegistered adviserother investment adviser, bank, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, common control
factForm ADV
→ ARX INVESTIMENTOS LTDARegistered adviserother investment adviser, bank, common control
factForm ADV
→ HEDGEMARK ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ HEDGEMARK INSTITUTIONAL CONSULTANTS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ BENEFIT STREET PARTNERS LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ BNY MELLON SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ CONVERGEX EXECUTION SOLUTIONS LLCRegistered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV

Advises (53)

→ IVY CLARUS US, LLCPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY DF/CL ACCESS FUND, LLCPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY MAPLEWOOD ASSOCIATES, LPPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY ROSEWOOD DIVERSIFIED FUND SPV 12/08, LTDPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY PARTNERS FUND I SPV 12/09, LTD.Private fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY MULTI-MANAGER HEDGE FUND SPV 9/09, LTD.Private fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ DBS-IVY DYNAMIC GLOBAL EQUITY FUND, LTD.Private fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY CLARUS ASSOCIATES II, LLCPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY MULTI-MANAGER HEDGE FUND SPV 12/09 TRUSTPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY SENTINEL INTERNATIONAL FUND SPV 2/09, LTDPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ EAF FEEDER I, LLCPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY ROSEWOOD DIVERSIFIED FUND LTDPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY ROSEWOOD ASSOCIATES, LPPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY SELECT PLC/IVY CLARUS DIVERSIFIED FEEDER FUNDPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY CLARUS CI, LTD.Private fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ SENTINEL II ENHANCED OPPORTUNITY FUND LTDPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY SENTINEL FUND II, LTD.Private fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY RISING STARS FUND LPPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY MULTI MANAGER HEDGE FUND LLCPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY PARTNERS FUND I, LLCPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY CREDIT OPPORTUNITIES FUND, LTD.Private fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY KRONER UNIT TRUST IPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY LIGHTFOOT MLP, LPPrivate fundPrivate Equity Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY ROSEWOOD OFFSHORE FUND, LTDPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY CLARUS ASSOCIATES, L.P.Private fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY GLOBAL EQUITY OPPORTUNITIES FUND, LLCPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY SENTINEL FUND II SPV 3/09, LTDPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ DEFENDERS FUND LIQUIDATING TRUSTPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY MAPLEWOOD ASSOCIATES II, LPPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ IVY DEFENDERS 1099 DOMESTIC ACCESS FUND LLCPrivate fundHedge Fund, IA
Mar 26, 2012 to presentfactForm ADV
and 23 more

Controls (6)

← GRAF, THOMAS, CARLOwnerMANAGER, ownership code NA, individual
Dec 16, 2011 to presentfactForm ADV
← BILLERBECK, CHARLES, J.OwnerMANAGER, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← SQUASONI, DOUGLAS, WADEOwnerCHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER, ownership code NA, individual
Dec 16, 2011 to presentfactForm ADV
← SCHLICHT, CHRISTINE, ELIZABETHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 16, 2011 to presentfactForm ADV
← ALTERNATIVE HOLDINGS I, LLCOwner100% OWNER OF IVY ASSET MANAGEMENT LLC, ownership code E, domestic entity
Dec 16, 2011 to presentfactForm ADV
← ALTERNATIVE HOLDINGS II, LLCOwner100% OWNER OF ALTERNATIVE HOLDINGS I, LLC, ownership code E, domestic entity
Dec 16, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8dafde8e-b5b3-839e-d4cc-2fbfeacc0b9b
First observed: Dec 16, 2011
Last observed: May 16, 2012 174 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

IVY ASSET MANAGEMENT LLC

CRD 107831

UNIONDALE, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8dafde8e-b5b3-839e-d4cc-2fbfeacc0b9b

Data as of May 16, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:40 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

IVY MAPLEWOOD ASSOCIATES II, LP

Hedge Fund

$34.1M

May 16, 2012

Mar 26, 2012

reported

n/a

MAPLEWOOD C.I. LIMITED

Hedge Fund

$31.5M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY CLARUS CI, LTD.

Hedge Fund

$22.6M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY PARTNERS FUND I, LLC

Hedge Fund

$21.3M

May 16, 2012

168

Mar 26, 2012

reported

n/a

IVY DEFENDERS FUND, L.P.

Hedge Fund

$20.6M

May 16, 2012

204

Mar 26, 2012

reported

n/a

IVY CLARUS ASSOCIATES II, LLC

Hedge Fund

$17.6M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY CLARUS ASSOCIATES, L.P.

Hedge Fund

$9.4M

May 16, 2012

162

Mar 26, 2012

reported

n/a

DEFENDERS FUND LIQUIDATING TRUST

Hedge Fund

$9.3M

May 16, 2012

410

Mar 26, 2012

reported

n/a

IVY SELECT PLC/IVY CLARUS DIVERSIFIED FEEDER FUND

Hedge Fund

$8.0M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY CLARUS DIVERSIFIED, LTD.

Hedge Fund

$6.8M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY MAPLEWOOD ASSOCIATES, LP

Hedge Fund

$6.6M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY MULTI-MANAGER HEDGE FUND SPV 9/09, LTD.

Hedge Fund

$5.7M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY ROSEWOOD OFFSHORE FUND SPV, LTD

Hedge Fund

$5.5M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY MULTI MANAGER HEDGE FUND LLC

Hedge Fund

$5.3M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY RISING STARS FUND LP

Hedge Fund

$5.3M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY MULTI-MANAGER HEDGE FUND SPV 12/09 TRUST

Hedge Fund

$5.3M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY PARTNERS FUND I, LTD

Hedge Fund

$5.2M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY CLARUS US, LLC

Hedge Fund

$4.7M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY RISING STARS OFFSHORE FUND SPV 3/09, LTD

Hedge Fund

$4.6M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY MULTI MANAGER HEDGE FUND LTD

Hedge Fund

$4.6M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY SENTINEL INTERNATIONAL FUND SPV 12/08, LTD

Hedge Fund

$4.2M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY DEFENDERS 1099 DOMESTIC ACCESS FUND LLC

Hedge Fund

$3.4M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY SPECTRUM LLC

Hedge Fund

$3.2M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY DISTRESSED OPPORTUNITIES FUND LLC

Hedge Fund

$3.0M

May 16, 2012

Mar 26, 2012

reported

n/a

IVY DF/CL ACCESS FUND, LLC

Hedge Fund

$3.0M

May 16, 2012

Mar 26, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALTERNATIVE HOLDINGS I, LLC

100% OWNER OF IVY ASSET MANAGEMENT LLC

yes

01/2009

Dec 16, 2011

May 16, 2012

ALTERNATIVE HOLDINGS II, LLC

100% OWNER OF ALTERNATIVE HOLDINGS I, LLC

yes

12/2008

Dec 16, 2011

May 16, 2012

BILLERBECK, CHARLES, J.

Manager

yes

03/2012

Mar 26, 2012

May 16, 2012

GRAF, THOMAS, CARL

Manager

yes

05/2011

Dec 16, 2011

May 16, 2012

SCHLICHT, CHRISTINE, ELIZABETH

CHIEF COMPLIANCE OFFICER

yes

10/2010

Dec 16, 2011

May 16, 2012

SQUASONI, DOUGLAS, WADE

CHIEF INVESTMENT OFFICER/CHIEF RESTRUCTURING OFFICER

yes

04/2010

Dec 16, 2011

May 16, 2012

THE BANK OF NEW YORK MELLON CORPORATION

100% OWNER OF ALTERNATIVE HOLDINGS II, LLC

yes

12/2008

Dec 16, 2011

May 16, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MELLON CAPITAL MANAGEMENT CORPORATION

n/a

Asset manager

$874B

yes

n/a

THE DREYFUS CORPORATION

n/a

Asset manager

$419B

yes

n/a

PARETO NEW YORK LLC

n/a

Other adviser

$171B

yes

n/a

STANDISH MELLON ASSET MANAGEMENT COMPANY LLC

n/a

Former SEC adviser

$130B

yes

n/a

WALTER SCOTT & PARTNERS LIMITED

n/a

Other adviser

$67B

yes

n/a

NEWTON CAPITAL MANAGEMENT LTD

n/a

Asset manager

$42B

yes

n/a

LOCKWOOD ADVISORS INC

n/a

Bank affiliated wealth

$33B

yes

n/a

ALCENTRA LIMITED

n/a

Asset manager

$23B

yes

n/a

THE BOSTON COMPANY ASSET MANAGEMENT LLC

n/a

Former SEC adviser

$20B

yes

n/a

ALCENTRA NY, LLC

n/a

Asset manager

$14B

yes

n/a

MBSC SECURITIES CORPORATION

n/a

Other adviser

$8.4B

yes

n/a

URDANG SECURITIES MANAGEMENT INC

n/a

Former SEC adviser

$7.9B

yes

n/a

HEDGEMARK ADVISORS, LLC

n/a

Former SEC adviser

$7.1B

yes

n/a

PARETO INVESTMENT MANAGEMENT LIMITED

n/a

Former SEC adviser

$3.0B

yes

n/a

BNY MELLON ARX INVESTIMENTOS LTDA

n/a

Former SEC adviser

$1.9B

yes

n/a

EACM ADVISORS LLC

n/a

Former SEC adviser

$617M

yes

n/a

URDANG CAPITAL MANAGEMENT INC

n/a

Former SEC adviser

$577M

yes

n/a

MELLON HEDGE ADVISORS, LLC

n/a

Former SEC adviser

yes

n/a

13 ADVISORS INC

n/a

yes

n/a

ACN 003 231 829 LIMITED

n/a

yes

n/a

ALCENTRA MANAGEMENT (IRELAND) LIMITED

n/a

yes

n/a

ATIVOS LTDA

n/a

yes

n/a

BANK OF NEW YORK MELLON

n/a

yes

n/a

BIRCHWOOD ASSOCIATES MANAGEMENT, LLC

n/a

yes

n/a

BNY MELLON ADMINISTRACAO DE ATIVOS LTDA

n/a

yes

n/a

BNY MELLON ALOCACAO DE PATRIMONIO LTDA

n/a

yes

n/a

BNY MELLON AM KOREA

n/a

yes

n/a

BNY MELLON ASSET MANAGEMENT (UK) LIMITED

n/a

yes

n/a

BNY MELLON ASSET MANAGEMENT AUSTRALIA LIMITED

n/a

yes

n/a

BNY MELLON ASSET MANAGEMENT CANADA LIMITED

n/a

yes

n/a

BNY MELLON ASSET MANAGEMENT HONG KONG LIMITED

n/a

yes

n/a

BNY MELLON ASSET MANAGEMENT JAPAN LIMITED

n/a

yes

n/a

BNY MELLON CAPITAL MARKETS EMEA LIMITED

n/a

yes

n/a

BNY MELLON CAPITAL MARKETS, LLC

n/a

yes

n/a

BNY MELLON FUND MANAGERS LIMITED

n/a

yes

n/a

BNY MELLON GLOBAL MANAGEMENT LIMITED

n/a

yes

n/a

BNY MELLON INTERNATIONAL ASSET MANAGEMENT GROUP LIMITED

n/a

yes

n/a

BNY MELLON INTERNATIONAL MANAGEMENT LIMITED

n/a

yes

n/a

BNY MELLON KOREA LIMITED

n/a

yes

n/a

BNY MELLON NATIONAL ASSOCIATION

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 26, 2012

$206M

n/a

$292M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$206M

n/a