EFTA01372360.pdf

FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: CERBERUS SUB-ADVISORY I, LLC CRD Number: 168018 Annual Amendment - All Sections Rev. 10/2017 3/30/2018 3:29:22 PM WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must keep this form updated by filing periodic amendments. See Form ADV General Instruction 4. Item 1 Identifying Information Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration. A. Your full legal name (if you are a sole proprietor, your last, first, and middle names): CERBERUS SUB-ADVISORY I, LLC B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A. CERBERUS SUB-ADVISORY I, LLC List on Section 1.8. of Schedule D any additional names under which you conduct your advisory business. (2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box r If you check this box, complete a Schedule R for each relying adviser. C. If this filing is reporting a change in your legal name (Item S.A.) or primary business name (Item 1.11(1)), enter the new name and specify whether the name change is of r your legal name or r your primary business name: D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-78207 (2) If you report to the SEC as an exempt reporting adviser, your SEC file number: (3) If you have one or more Central Index Key numbers assigned by the SEC ("CIK Numbers"), all of your CIK numbers: No Information Filed E. (1) If you have a number ("CRD Number") assigned by the FINRA's CRD system or by the IARD system, your CRD number: 168018 If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates. (2) If you have additional CRD Numbers, your additional CRD numbers: No Information Filed F. Principal Office and Place of Business (1) Address (do not use a P.O. Box): Number and Street 1: Number and Street 2: 875 THIRD AVENUE City: State: Country: ZIP+4/Postal Code: NEW YORK New York United States 10022 If this address is a private residence, check this box: r List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state or states to which you are applying for registration or with whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year. (2) Days of week that you normally conduct business at your principal office and place of business: is Monday - Friday r Other: Normal business hours at this location: 9:00 A.M. - 6:00 P.M. (3) er at this location: " r at this location, if any: (5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066054 CONFIDENTIAL SDNY_GM_00212238 EFTA01372360