Form Pf - Reporting Form For Investment Advisers To Private Funds And Certain Commodity Pool Operators And Commodity Trading Advisors Page 3
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64Form PF: General Instructions
Page 3
persons, collectively, had at least $1 billion in combined money market and
liquidity fund assets under management. You are not required to include the
regulatory assets under management of any related person that is separately
operated.
You must complete a separate Section 3 with respect to each liquidity fund that
you advise.
However, if you report answers on an aggregated basis for any master-feeder
arrangement or parallel fund structure in accordance with Instruction 5, you
should only complete a separate Section 3 with respect to the reporting fund for
such master-feeder arrangement or parallel fund structure.
Section 4 – Large private equity advisers
You are required to complete Section 4 if you and your related persons,
Section 4
collectively, had at least $2 billion in private equity fund assets under
management as of the last day of your most recently completed fiscal year. You
are not required to include the regulatory assets under management of any related
person that is separately operated.
You must complete a separate Section 4 with respect to each private equity fund
that you advise.
However, if you report answers on an aggregated basis for any master-feeder
arrangement or parallel fund structure in accordance with Instruction 5, you
should only complete a separate Section 4 with respect to the reporting fund for
such master-feeder arrangement or parallel fund structure.
Section 5 – Advisers requesting a temporary hardship exemption
Section 5
See Instruction 13 for details.
4.
I am a subadviser or engage a subadviser for a private fund. Who is responsible for
reporting information about that private fund?
Only one private fund adviser should complete and file Form PF for each private fund. If the
adviser that filed Form ADV Section 7.B.1 with respect to any private fund is required to file
Form PF, the same adviser must also complete and file Form PF for that private fund. If the
adviser that filed Form ADV Section 7.B.1 with respect to any private fund is not required to file
Form PF (e.g., because it is an exempt reporting adviser) and one or more other advisers to the
fund is required to file Form PF, another adviser must complete and file Form PF for that private
fund.
Where a question requests aggregate information regarding the private funds that you advise, you
should only include information regarding the private funds for which you are filing Section 1b of
Form PF.
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