at


Investment Adviser Firm Summary

TFG ASSET MANAGEMENT L.P. (CRD# 156040 / SEC# 801-74150)
Alternate Names: EQUITIX GP 4 LIMITED (AFFILIATED ADVISER) , EQUITIX INVESTMENT MANAGEMENT LIMITED (AFFILIATED ADVISER) , HAWKE'S POINT MANAGER L.P. (RELYING ADVISOR) , LCM ASSET MANAGEMENT LLC (RELYING ADVISER) , POLYGON CB L.P. (RELYING ADVISER) , POLYGON DISTRESSED OPPORTUNITIES MANAGER L.P. (RELYING ADVISER) , POLYGON EQUITIES L.P. (RELYING ADVISER) , POLYGON GLOBAL EQUITIES L.P. (RELYING ADVISER) , POLYGON GLOBAL PARTNERS LLP (RELYING ADVISER) , POLYGON GLOBAL PARTNERS LP (RELYING ADVISER) , POLYGON MANAGEMENT L.P. , POLYGON MINING L.P. (RELYING ADVISER) , POLYGON PRIVATE INVESTMENT PARTNERS LP (RELYING ADVISER) , POLYGON RECOVERY MANAGER LP (RELYING ADVISER) , TCI CAPITAL MANAGEMENT II LLC (RELYING ADVISER) , TCI CAPITAL MANAGEMENT LLC (RELYING ADVISER) , TETRAGON CREDIT INCOME PARTNERS II LTD. (RELYING ADVISOR) , TETRAGON CREDIT INCOME PARTNERS III LTD. (RELYING ADVISOR) , TFG ASSET MANAGEMENT L.P.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/30/2012

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


Not Currently Notice Filed


EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser