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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

GOTTEX FUND MANAGEMENT, LTD.

CRD 139588

NEW YORK, 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:c43593ce-aaae-45b4-88be-a37617279d5e

Data as of Sep 12, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Sep 12, 2017
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $48.0MItem 5.F on the latest filing (2017-09-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $48.0M
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
Employees: 3
Advisory employees: 2
Accounts: 5
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $695,000gross asset value as reported per fund; never fund size
SEC number: 801-66230
CRD: 139588
Filings on the tape: 17
First filed: Mar 30, 2012
Latest filed: Sep 12, 2017
Organised: Corporation, Delaware

Private funds

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

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
EIM MANAGEMENT ALTERNATIVE ASSET PORTFOLIO II	Other Private Fund	$695,000	Sep 12, 2017	1	Mar 30, 2016	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
GOTTEX AMERICA LIMITED	Owner	E	yes	11/2015	Mar 30, 2016	Sep 12, 2017
GOTTEX MANAGEMENT SA SICAR	Owner	E	yes	11/2005	Mar 28, 2014	Sep 12, 2017
Pierre, Udriot	CHIEF FINANCIAL OFFICER	Na	yes	01/2016	Mar 30, 2016	Sep 12, 2017
BHASIN-WOODS, SONIA	CHIEF COMPLIANCE OFFICER	Na	no	11/2016	Mar 31, 2017	Sep 12, 2017
MESQUITA, LUCIANA, CASTRO	COMPLIANCE OFFICER	Na	no	12/2016	Dec 27, 2016	Sep 12, 2017

Affiliates (Item 7.A)

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

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
GOTTEX FUND MANAGEMENT SARL	n/a	Former SEC adviser	n/a	N	yes	n/a
GOTTEX PENJING ASSET MANAGEMENT (HK) LIMITED	n/a	n/a	n/a	N	yes	n/a
LUMX ASSET MANAGEMENT (SUISSE) LTD	n/a	n/a	n/a	N	yes	n/a
LUMX ASSET MANAGEMENT (U.K.) LTD	n/a	n/a	n/a	Y	no	n/a

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
2016	Mar 31, 2017	$48.0M	$48.0M	5	4	n/a	1	$695,000
2015	Mar 30, 2016	$48.0M	$48.0M	12	6	n/a	1	$695,000
2014	Mar 30, 2015	$50.3M	$50.3M	20	10	n/a	n/a	n/a
2013	Mar 28, 2014	$65.9M	$65.9M	106	38	n/a	n/a	n/a
2012	Mar 28, 2013	$48.3M	$31.4M	96	25	n/a	n/a	n/a
2011	Mar 30, 2012	$99.1M	$0	n/a	n/a	n/a	n/a	n/a

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
2016	$48.0M	$48.0M	0.0%	$65.9M	-10.0%	3	12	n/a	n/a

Relationships

Affiliated with (2)

← GOTTEX FUND MANAGEMENT SARLRegistered adviserother investment adviser, control, common control
factForm ADV
→ GOTTEX FUND MANAGEMENT SARLRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Advises (1)

→ EIM MANAGEMENT ALTERNATIVE ASSET PORTFOLIO IIPrivate fundOther Private Fund, IA
Mar 30, 2016 to presentfactForm ADV

Owns (2)

← MESQUITA, LUCIANA, CASTROOwnerCOMPLIANCE OFFICER, ownership code NA, individual
Dec 27, 2016 to presentfactForm ADV
← BHASIN-WOODS, SONIAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2017 to presentfactForm ADV

Controls (3)

← Pierre, UdriotOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← GOTTEX AMERICA LIMITEDOwnerOWNER, ownership code E, foreign entity
Mar 30, 2016 to presentfactForm ADV
← GOTTEX MANAGEMENT SA SICAROwnerOWNER, ownership code E, foreign entity
Mar 28, 2014 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c43593ce-aaae-45b4-88be-a37617279d5e
First observed: Mar 30, 2012
Last observed: Sep 12, 2017 109 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.

GOTTEX FUND MANAGEMENT, LTD.

CRD 139588

NEW YORK, 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:c43593ce-aaae-45b4-88be-a37617279d5e

Data as of Sep 12, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

EIM MANAGEMENT ALTERNATIVE ASSET PORTFOLIO II

Other Private Fund

$695,000

Sep 12, 2017

Mar 30, 2016

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GOTTEX AMERICA LIMITED

Owner

yes

11/2015

Mar 30, 2016

Sep 12, 2017

GOTTEX MANAGEMENT SA SICAR

Owner

yes

11/2005

Mar 28, 2014

Sep 12, 2017

Pierre, Udriot

CHIEF FINANCIAL OFFICER

yes

01/2016

Mar 30, 2016

Sep 12, 2017

BHASIN-WOODS, SONIA

CHIEF COMPLIANCE OFFICER

11/2016

Mar 31, 2017

Sep 12, 2017

MESQUITA, LUCIANA, CASTRO

COMPLIANCE OFFICER

12/2016

Dec 27, 2016

Sep 12, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GOTTEX FUND MANAGEMENT SARL

n/a

Former SEC adviser

n/a

yes

n/a

GOTTEX PENJING ASSET MANAGEMENT (HK) LIMITED

n/a

yes

n/a

LUMX ASSET MANAGEMENT (SUISSE) LTD

n/a

yes

n/a

LUMX ASSET MANAGEMENT (U.K.) LTD

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 31, 2017

$48.0M

n/a

$695,000

2015

Mar 30, 2016

$48.0M

n/a

$695,000

2014

Mar 30, 2015

$50.3M

n/a

2013

Mar 28, 2014

$65.9M

106

n/a

2012

Mar 28, 2013

$48.3M

$31.4M

n/a

2011

Mar 30, 2012

$99.1M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$48.0M

0.0%

$65.9M

-10.0%

n/a