TOPWATER CAPITAL PARTNERS, LLC

TOPWATER CAPITAL PARTNERS, LLC of SOUTH NORWALK, CT is an SEC-registered investment adviser (CRD 157072). Regulatory assets under management: $410.9M.

Registration

CRD: 157072
SEC file number: 801-73058
Type: Registered investment adviser
Location: 55 NORTH WATER STREET, SUITE 3, SOUTH NORWALK, CT, 06854
Phone: 203-852-8005
Latest filing: 2013-03-28
Regulatory AUM: $410.9M
Non-discretionary AUM: $410.9M
Clients: 9
Accounts: 2

Officers, owners & control persons (5)

Name	Role	Location
O'SHEA THOMAS FRANCIS	CHIEF FINANCIAL OFFICER	—
TAYLOR BRYAN CHARLES	CHIEF COMPLIANCE OFFICER; MANAGING MEMBER	—
BORGIA BRYAN DENNIS	MANAGING MEMBER	—
RUBIN SUSAN RONI	CHIEF COMPLIANCE OFFICER	—
MAFTEIU PETER MICHAEL	CHIEF COMPLIANCE OFFICER	—

Private funds (2)

Fund	Type	Formed	Owners	Gross asset value	Min investment
TOPWATER OPPORTUNITY QUALIFIED FUND, LP	Hedge Fund	—	35	$277.0M	$500K
TOPWATER OPPORTUNITY FUND, LP	Hedge Fund	—	25	$133.9M	$500K

Fund service providers (1)

administrator: JD CLARK & COMPANY — 2 funds

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