Hatteras Funds, LP (Raleigh)


Hatteras Funds, LP is a large advisory firm based in Raleigh. It manages $495.79 million of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdiction of North Carolina.

Hatteras Funds provides portfolio management for investment companies and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Hatteras Funds: assets under management

The assets under management (AUM) of Hatteras Funds, LP is $495.79 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -77% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $495.79 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $61.97 million each.
Hatteras Funds has custody of $428.95 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Hatteras Funds, LP for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Hatteras Funds serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Hatteras Funds is investment companies with 3 clients and $443.25 million of assets under management. Among the 11 most similar advisory firms, Hatteras Funds has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $495.79 million for 8 clients. None of the firm’s clients are foreign persons or businesses.

Hatteras Funds also advises several private funds. Namely, four private equity funds and one venture capital fund. The minimum investment commitment required of non-related persons ranges from $50,000 to $1,000,000.

Careers at Hatteras Funds, LP

The company employs 12 people that are either part- or full-time employees. 25 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
David Brien Perkins Ceo 1 Mar 2014 50% - 75% 1824251
Andrew Paul Chica Cco 1 Mar 2014 Other 3087253
Robert Lance Baker Cfo 1 Mar 2014 Other 5503485
James Michael Fields Coo 1 Mar 2014 Other 4164246
Llc Hgp Management General partner 1 Jan 2016 Other 00-0000000
Michael Patrick Hennen Director of investment management 1 Jun 2016 Other 3019907
Robert Barry Brown Managing director of business strategy 1 Apr 2017 Other 4285071
Jessica Rosenfeld Sherburne Head of operations 1 Jan 2018 Other 3023999

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
David Brien Perkins Member 1 Jan 2016 75% - 100% 1824251

Based in Raleigh

The principal office where Hatteras Funds, LP performs its advisory services is located at 8510 Colonnade Center Drive, Raleigh, NC 27615, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 919-846-2324 or by fax 919-846-3433. The normal business hours are 8:30 a.m. - 5:30 p.m. on Monday - Friday. You can find more information about the New York firm at hatterasfunds.com.