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advised by WHITEBOX ADVISORS LLC
Delaware, United States
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Filed | GAV | Owners | Minimum | Adviser owns | Audited | Name as filed |
|---|---|---|---|---|---|---|
| Apr 19, 2021 | $223M | 4 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Mar 26, 2021 | $223M | 4 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Nov 12, 2020 | $122M | 3 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Sep 14, 2020 | $122M | 3 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Aug 26, 2020 | $122M | 3 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Jul 30, 2020 | $122M | 3 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Jul 13, 2020 | $122M | 3 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| May 22, 2020 | $122M | 3 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| May 13, 2020 | $122M | 3 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Mar 30, 2020 | $122M | 3 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Dec 17, 2019 | $111M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Sep 25, 2019 | $111M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Sep 5, 2019 | $111M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Sep 5, 2019 | $111M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Aug 1, 2019 | $111M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Aug 1, 2019 | $111M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Jun 26, 2019 | $111M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Apr 15, 2019 | $111M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Mar 29, 2019 | $111M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Jan 2, 2019 | $115M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Oct 31, 2018 | $115M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Oct 16, 2018 | $115M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| May 17, 2018 | $115M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Mar 28, 2018 | $115M | 2 | $5.0M | 100.0% | yes | WHITEBOX GT FUND, L.P. |
| Dec 26, 2017 | $117M | 2 | $5.0M | 900.0% | yes | WHITEBOX GT FUND, L.P. |
| Jul 10, 2017 | $117M | 2 | $5.0M | 900.0% | yes | WHITEBOX GT FUND, L.P. |
| Jun 8, 2017 | $117M | 2 | $5.0M | 900.0% | yes | WHITEBOX GT FUND, L.P. |
| Mar 30, 2017 | $117M | 2 | $5.0M | 900.0% | yes | WHITEBOX GT FUND, L.P. |
| Jan 5, 2017 | $72.4M | 2 | $5.0M | 700.0% | yes | WHITEBOX GT FUND, LP |
| Nov 11, 2016 | $72.4M | 2 | $5.0M | 700.0% | yes | WHITEBOX GT FUND, LP |
| Jun 8, 2016 | $72.4M | 2 | $5.0M | 700.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Mar 31, 2016 | $72.4M | 2 | $5.0M | 700.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Dec 21, 2015 | $73.1M | 3 | $5.0M | 1400.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Oct 23, 2015 | $73.1M | 3 | $5.0M | 1400.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Aug 21, 2015 | $73.1M | 3 | $5.0M | 1400.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Aug 21, 2015 | $73.1M | 3 | $5.0M | 1400.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Mar 30, 2015 | $73.1M | 3 | $5.0M | 1400.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Mar 19, 2015 | $73.1M | 3 | $5.0M | 1400.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Dec 23, 2014 | $84.8M | 2 | $5.0M | 1300.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Nov 5, 2014 | $84.8M | 2 | $5.0M | 1300.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Sep 18, 2014 | $84.8M | 2 | $5.0M | 1300.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Sep 18, 2014 | $84.8M | 2 | $5.0M | 1300.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Jul 2, 2014 | $84.8M | 2 | $5.0M | 1300.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| May 1, 2014 | $84.8M | 2 | $5.0M | 1300.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Apr 10, 2014 | $84.8M | 2 | $5.0M | 1300.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Mar 27, 2014 | $84.8M | 2 | $5.0M | 1300.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Feb 11, 2014 | $180M | 43 | $5.0M | 500.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Sep 9, 2013 | $180M | 43 | $5.0M | 500.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Jul 10, 2013 | $180M | 43 | $5.0M | 500.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Mar 28, 2013 | $180M | 43 | $5.0M | 500.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Jan 4, 2013 | $185M | 69 | $5.0M | 1600.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Nov 13, 2012 | $185M | 69 | $5.0M | 1600.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Aug 23, 2012 | $185M | 69 | $5.0M | 1600.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Aug 7, 2012 | $185M | 69 | $5.0M | 1600.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Jul 3, 2012 | $185M | 69 | $5.0M | 1600.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Apr 16, 2012 | $185M | 69 | $5.0M | 1600.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Mar 29, 2012 | $185M | 69 | $5.0M | 1600.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Mar 14, 2012 | $185M | 69 | $5.0M | 1600.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Mar 1, 2012 | $152M | 69 | $5.0M | 1600.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Feb 29, 2012 | $152M | 69 | $5.0M | 1600.0% | yes | WHITEBOX SPECIAL OPPORTUNITIES FUND LP - SERIES O |
| Custodian | Legal name | City | State | Country | Related person | SEC number |
|---|---|---|---|---|---|---|
| BNP PARIBAS SECURITIES CORP. | BNP PARIBAS SECURITIES CORP. | NEW YORK | New York | United States | no | 8-32682 |
| CITIGROUP GLOBAL MARKETS INC. | CITIGROUP GLOBAL MARKETS INC. | NEW YORK | New York | United States | no | 8-8177 |
| GOLDMAN SACHS & CO. LLC | GOLDMAN SACHS & CO. LLC | NEW YORK | New York | United States | no | 8-129 |
| J.P. MORGAN CLEARING CORP. | J.P. MORGAN CLEARING CORP. | NEW YORK | New York | United States | no | 8-43724 |
| MERRILL LYNCH PROFESSIONAL CLEARING CORP. | MERRILL LYNCH PROFESSIONAL CLEARING CORP. | NEW YORK | New York | United States | no | 8-33359 |
| PRINCIPAL FINANCIAL GROUP | PRINCIPAL BANK | DES MOINES | Iowa | United States | no | n/a |
| U.S. BANK NATIONAL ASSOCIATION | U.S. BANK NATIONAL ASSOCIATION | Minneapolis | Minnesota | United States | no | n/a |
| UBS SECURITIES LLC | UBS SECURITIES LLC | NEW YORK | New Mexico | United States | no | 8-22651 |
| WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES, LLC | Charlotte | North Carolina | United States | no | 8-65876 |