Investment adviser · CRD 108204

DB INVESTMENT MANAGERS, INC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Nov 15, 2018

Regulatory AUM: $5.2M
Client accounts: 4
Employees: 3
Advisory professionals: 1

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	4	$5,196,420	100.0%

Filing source

Form ADV 1251792 · Nov 15, 2018 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

50+ Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

Browse the first 49 funds across 7 pages.

DBX-EUROPEAN LONG/SHORT EQUITY 4 FUNDHedge Fund · Last reported Mar 31, 2014$52.9MGross asset value

Form D fundraising filings

dbX-European Long/Short Equity 4 Fund

Feeder funds

DBX-EUROPEAN LONG/SHORT EQUITY 4 FEEDER FUND

Fund administrator DB FUND SERVICES LLC SANTA ANA, California, United States Investor statements: No (provided to no investors) Related to adviser: Yes

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

Fund details & source

Fund ID: 805-7138346641
Reported beneficial owners: 11
Minimum commitment: $250K
Form D file number: 021-154956

Form ADV 813520 · Mar 31, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LIQUIDALTS OMEGA FUNDHedge Fund · Last reported Jul 11, 2014$52.6MGross asset value

Feeder funds

LIQUIDALTS OMEGA FEEDER FUND

Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN 1, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

Custodian GOLDMAN SACHS & CO. NEW YORK, New York, United States Related to adviser: No

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

Fund details & source

Fund ID: 805-5510158421
Reported beneficial owners: 33
Minimum commitment: $100K

Form ADV 834050 · Jul 11, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DBX-JAPAN LONG/SHORT EQUITY 4 FUNDHedge Fund · Last reported Mar 31, 2014$51.4MGross asset value

Form D fundraising filings

dbX-Japan Long/Short Equity 4 Fund

Feeder funds

DBX-JAPAN LONG/SHORT EQUITY 4 FEEDER FUND

Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN 1, Ireland Investor statements: No (provided to no investors) Related to adviser: No

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

Fund details & source

Fund ID: 805-1165188732
Reported beneficial owners: 12
Minimum commitment: $250K
Form D file number: 021-163477

Form ADV 813520 · Mar 31, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DBX-EUROPEAN LONG SHORT 6 FUNDHedge Fund · Last reported Mar 31, 2014$50.4MGross asset value

Form D fundraising filings

dbX-European Long/Short 6 Fund

Feeder funds

DBX-EUROPEAN LONG SHORT EQUITY 6 FEEDER FUND

Fund administrator DB FUND SERVICES LLC SANTA ANA, California, United States Investor statements: No (provided to no investors) Related to adviser: Yes

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

Fund details & source

Fund ID: 805-9093655365
Reported beneficial owners: 16
Minimum commitment: $250K
Form D file number: 021-154960

Form ADV 813520 · Mar 31, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DBX-CTA19 FUNDHedge Fund · Last reported Mar 31, 2014$49.4MGross asset value

Feeder funds

DBX-CTA 19 FEEDER FUND
DBX-CTA 19 FEEDER FUND

Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK AG, DUBLIN BRANCH DUBLIN, Ireland Related to adviser: Yes

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

Custodian NEWEDGE USA, LLC NEW YORK, New York, United States Related to adviser: No

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

NEWEDGE USA, LLC
SEC 8-47023

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

Fund details & source

Fund ID: 805-4764285779
Reported beneficial owners: 2
Minimum commitment: $250K
Form D file number: 021-88888

Form ADV 813520 · Mar 31, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DBX-CREDIT 4 FUNDHedge Fund · Last reported Mar 31, 2014$49.4MGross asset value

Form D fundraising filings

dbX-Credit 4 Fund

Feeder funds

DBX-CREDIT 4 FEEDER FUND
DBX-CREDIT 4 FEEDER FUND

Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

Fund details & source

Fund ID: 805-8928375242
Reported beneficial owners: 15
Minimum commitment: $250K
Form D file number: 021-176658

Form ADV 813520 · Mar 31, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DBX-EUROPEAN LONG/SHORT EQUITY 9 FUNDHedge Fund · Last reported Aug 29, 2013$48.8MGross asset value

Form D fundraising filings

dbX-European Long/Short Equity 9 Fund

Feeder funds

DBX-EUROPEAN LONG/SHORT EQUITY 9 FEEDER FUND

Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG DUBLIN, Ireland

Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: Yes

Custodian JP MORGAN SECURITIES PLC LONDON, United Kingdom Related to adviser: No

Marketer DEUTSCHE BANK AG, LONDON BRANCH LONDON, United Kingdom Related to adviser: Yes

Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States

Prime broker JP MORGAN SECURITIES PLC LONDON, United Kingdom

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

Fund details & source

Fund ID: 805-8867078420
Reported beneficial owners: 3
Minimum commitment: $150K
Form D file number: 021-185618

Form ADV 754166 · Aug 29, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Nov 15, 2018. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Fixed

Principal office

345 PARK AVENUE, 25TH FL.
NEW YORK, NY, 10154, United States

CRD 108204

Filing source

Form ADV 1251792 · Nov 15, 2018 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.