Illegal Activity
suspicious
Blackmail
none
Date
August 2009
Document Type
other
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document outlines potential risks associated with investing in funds managed by Alkeon, discloses affiliations with other financial entities, and notes potential conflicts of interest. It advises investors to carefully consider all risk factors before investing.
Metadata
- Subject
- Alkeon's activities, Disciplinary Information, Other Financial Industry Activities and Affiliation
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0087808
- Date
- August 2009
Illegal Activity
- Severity
- suspicious
- Description
- The document mentions potential adverse tax consequences and conflicts of interest, which could potentially lead to illegal activities if not properly managed.
- Content Type
- none
Relationships 5
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Alkeon | sole member | SilverBay Capital Management, LLC | Alkeon is the sole member of SilverBay Capital Management, LLC. |
| Alkeon | affiliated | Breakwater Group, LLC | Some of Alkeon's personnel also are registered representatives and employees of Breakwater Group, LLC, a broker-dealer that may be deemed to be affiliated with Alkeon. |
| Alkeon Capital Advisers, LLC | general partner | Growth US Feeders, Select US Feeder, Asia Growth US Feeder, Alkeon Capital Partners US Feeder, Global Alpha US Feeder and Global Alpha Master Fund | Alkeon Capital Advisers, LLC is the general partner of the listed funds. |
| Alkeon Capital Offshore, LLC | co-investment manager | Growth Offshore Feeders, the Growth Master Fund, Select Offshore Feeder, Select Master Fund, Alkeon Capital Partners Offshore Feeder and Alkeon Capital Partners Master Fund | Alkeon Capital Offshore, LLC is the co-investment manager with Alkeon for the listed funds. |
| Alkeon | sub-adviser | investment fund registered under the 1940 Act | Alkeon acts as sub-adviser to an investment fund registered under the 1940 Act. |
Notable Quotes 3
Alkeon's activities could cause adverse tax consequences to funds and investors, including liability for interest and penalties.
Alkeon and its affiliates may spend time on activities that compete with a fund without accountability to investors, including investing for other clients and their own accounts.
Before deciding to invest in a fund that Alkeon manages, you should consider carefully all of the risk factors and other information in the fund's offering documents.
Red Flags 1
- Potential conflicts of interest due to Alkeon's affiliates engaging in competing activities without accountability to investors.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsLegal matters/litigation
People 2
Organizations 23
AGP LPAlpha Group CaudalAlkeonSilverBay Capital Management, LLCSECACAP Strategic FundBluepoint Investment Series TrustBreakwater Group, LLCFINRAAlkeon Capital Advisers, LLCGrowth US FeedersSelect US FeederAsia Growth US FeederAlkeon Capital Partners US FeederGlobal Alpha US FeederGlobal Alpha Master FundAlkeon Capital Offshore, LLCGrowth Offshore FeedersGrowth Master FundSelect Offshore FeederSelect Master FundAlkeon Capital Partners Offshore FeederAlkeon Capital Partners Master Fund
Locations 1
Delaware
Text Analysis
- Tone
- Informative
- Purpose
- To provide information about Alkeon's activities, potential risks, disciplinary information, and other financial industry activities and affiliations.
- Significance
- This document outlines potential risks associated with investing in funds managed by Alkeon and discloses affiliations with other financial entities.
File Info
- File Name
- EFTA01386216.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:58.403383
- DOJ Source
- View on DOJ