BALTER LIQUID ALTERNATIVES, LLC

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Balter Liquid Alternatives is based out of Boston. Balter Liquid Alternatives is a large advisory firm with 3 clients and discretionary assets under management (AUM) of $321,345,000 (Form ADV from 2019-03-27). Their last reported 13F filing for Q1 2019 included $181,078,000 in managed 13F securities and a top 10 holdings concentration of 20.83%. Balter Liquid Alternatives's largest holding is R1 RCM Inc with shares held of 800,489. Balter Liquid Alternatives has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 14 13F filings

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62

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03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $181.078 Million
  • Prior Market Value $143.911 Million
  • New Purchases57 stocks
  • Additional Purchases94 stocks
  • Sold out of88 stocks
  • Reduced holdings in29 stocks
  • Top 10 Holdings % 20.83 %
  • Turnover % [1]:77.96%
  • Turnover Alt % [2]: 36.57 %
  • Time Held Top20:2.15 quarters
  • Time Held Top10:2.70 quarters
  • Time Held All:2.74 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: 3.14%
Performance Last 4 Quarters: 4.03%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
12th Street Asset Management Company, LLC
Millrace Asset Group, Inc.

View Last Form Adv Compilation Report on Record

BALTER LIQUID ALTERNATIVES, LLC
125 HIGH STREET OLIVER STREET TOWER, SUITE 802
BOSTON MA    02110
Country: United States

Business Phone: 857-383-3472
Fax: 617-742-4224
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 12
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 3
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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BALTER LIQUID ALTERNATIVES, LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
BALTER CAPITAL MANAGEMENT LLC MANAGING MEMBER 10/01/2013 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
MIDWOOD CAPITAL MANAGEMENT LLC CLASS B MEMBER direct 2017-01-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER direct 2013-10-01
ANTLER LLC OWNER 10/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC OWNER direct 2013-10-01
BALTER, BRADLEY, ROSS CHIEF EXECUTIVE OFFICER 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CUE BALL DISCOVERY LLC PORTFOLIO MANAGER direct 2006-07-01
BALTER CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2006-07-01
BALTER CAPITAL MANAGEMENT, LLC MEMBER indirect 2007-03-01
BALTER CAPITAL MANAGEMENT LLC MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER direct 2007-03-01
BALTER CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2007-03-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER/CHIEF EXECUTIVE OFFICER indirect 2007-03-01
BALTER LIQUID ALTERNATIVES, LLC CHIEF EXECUTIVE OFFICER direct 2013-11-01
GOMPPER, REBECCA, ELISE CHIEF COMPLIANCE OFFICER 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BALTER CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2017-11-01
MIDWOOD CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2017-11-01
BALTER LIQUID ALTERNATIVES, LLC CHIEF COMPLIANCE OFFICER direct 2017-11-01
INVENOMIC CAPITAL MANAGEMENT LP CHIEF COMPLIANCE OFFICER direct 2017-11-01
BALTER, BRADLEY, ROSS MANAGING MEMBER/CHIEF EXECUTIVE OFFICER BALTER CAPITAL MANAGEMENT LLC 03/01/2007 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CUE BALL DISCOVERY LLC PORTFOLIO MANAGER direct 2006-07-01
BALTER CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2006-07-01
BALTER CAPITAL MANAGEMENT, LLC MEMBER indirect 2007-03-01
BALTER CAPITAL MANAGEMENT LLC MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER direct 2007-03-01
BALTER CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2007-03-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER/CHIEF EXECUTIVE OFFICER indirect 2007-03-01
BALTER LIQUID ALTERNATIVES, LLC CHIEF EXECUTIVE OFFICER direct 2013-11-01
DAVID A. SACKLER 2012 TRUST OWNER ANTLER LLC 11/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2012-10-01
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2013-11-01
MARIANNA R. SACKLER 2012 TRUST OWNER ANTLER LLC 11/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2013-10-01
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2013-11-01
REBECCA K. SACKLER 2012 TRUST OWNER ANTLER LLC 11/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2013-10-01
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2013-11-01
ROBINS, JEFFREY, ANDREW TRUSTEE DAVID A. SACKLER 2012 TRUST 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
ROBINS, JEFFREY, ANDREW TRUSTEE MARIANNA R. SACKLER 2012 TRUST 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
ROBINS, JEFFREY, ANDREW TRUSTEE REBECCA K. SACKLER 2012 TRUST 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
SACKLER, RICHARD, STEPHEN TRUSTEE DAVID A. SACKLER 2012 TRUST 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER indirect 2013-11-01
SACKLER, RICHARD, STEPHEN TRUSTEE MARIANNA R. SACKLER 2012 TRUST 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER indirect 2013-11-01
SACKLER, RICHARD, STEPHEN TRUSTEE REBECCA K. SACKLER 2012 TRUST 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER indirect 2013-11-01
WASATCH LLC OWNER ANTLER LLC 11/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2013-11-01
SACKLER, RICHARD, STEPHEN MANAGING MEMBER WASATCH LLC 11/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER indirect 2013-11-01

BALTER LIQUID ALTERNATIVES, LLC

ownership team - last updated 2017-12-08
Name Title Start Date Direct/Indirect % Ownership
BALTER CAPITAL MANAGEMENT LLC MANAGING MEMBER 10/01/2013 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
MIDWOOD CAPITAL MANAGEMENT LLC CLASS B MEMBER direct 2017-01-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER direct 2013-10-01
ANTLER LLC OWNER 10/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC OWNER direct 2013-10-01
BALTER, BRADLEY, ROSS CHIEF EXECUTIVE OFFICER 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CUE BALL DISCOVERY LLC PORTFOLIO MANAGER direct 2006-07-01
BALTER CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2006-07-01
BALTER CAPITAL MANAGEMENT, LLC MEMBER indirect 2007-03-01
BALTER CAPITAL MANAGEMENT LLC MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER direct 2007-03-01
BALTER CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2007-03-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER/CHIEF EXECUTIVE OFFICER indirect 2007-03-01
BALTER LIQUID ALTERNATIVES, LLC CHIEF EXECUTIVE OFFICER direct 2013-11-01
GOMPPER, REBECCA, ELISE CHIEF COMPLIANCE OFFICER 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BALTER CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2017-11-01
MIDWOOD CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2017-11-01
BALTER LIQUID ALTERNATIVES, LLC CHIEF COMPLIANCE OFFICER direct 2017-11-01
INVENOMIC CAPITAL MANAGEMENT LP CHIEF COMPLIANCE OFFICER direct 2017-11-01
BALTER, BRADLEY, ROSS MANAGING MEMBER/CHIEF EXECUTIVE OFFICER BALTER CAPITAL MANAGEMENT LLC 03/01/2007 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CUE BALL DISCOVERY LLC PORTFOLIO MANAGER direct 2006-07-01
BALTER CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2006-07-01
BALTER CAPITAL MANAGEMENT, LLC MEMBER indirect 2007-03-01
BALTER CAPITAL MANAGEMENT LLC MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER direct 2007-03-01
BALTER CAPITAL MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2007-03-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER/CHIEF EXECUTIVE OFFICER indirect 2007-03-01
BALTER LIQUID ALTERNATIVES, LLC CHIEF EXECUTIVE OFFICER direct 2013-11-01
DAVID A. SACKLER 2012 TRUST OWNER ANTLER LLC 11/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2012-10-01
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2013-11-01
MARIANNA R. SACKLER 2012 TRUST OWNER ANTLER LLC 11/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2013-10-01
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2013-11-01
REBECCA K. SACKLER 2012 TRUST OWNER ANTLER LLC 11/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2013-10-01
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2013-11-01
ROBINS, JEFFREY, ANDREW TRUSTEE DAVID A. SACKLER 2012 TRUST 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
ROBINS, JEFFREY, ANDREW TRUSTEE MARIANNA R. SACKLER 2012 TRUST 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
ROBINS, JEFFREY, ANDREW TRUSTEE REBECCA K. SACKLER 2012 TRUST 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
SACKLER, RICHARD, STEPHEN TRUSTEE DAVID A. SACKLER 2012 TRUST 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER indirect 2013-11-01
SACKLER, RICHARD, STEPHEN TRUSTEE MARIANNA R. SACKLER 2012 TRUST 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER indirect 2013-11-01
SACKLER, RICHARD, STEPHEN TRUSTEE REBECCA K. SACKLER 2012 TRUST 01/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER indirect 2013-11-01
WASATCH LLC OWNER ANTLER LLC 11/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC OWNER indirect 2013-11-01
SACKLER, RICHARD, STEPHEN MANAGING MEMBER WASATCH LLC 11/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC TRUSTEE indirect 2012-01-01
BALTER LIQUID ALTERNATIVES, LLC MANAGING MEMBER indirect 2013-11-01

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