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Investment Adviser Firm Summary

AXONIC CAPITAL LLC (CRD# 159518 / SEC# 801-73132)
Alternate Names: AXONIC CAPITAL GP LLC , AXONIC CAPITAL LLC , AXONIC CRE DISTRESSED FUND GP LLC , AXONIC PG SPECIAL OPPORTUNITIES FUND 2016-1 GP LLC , AXONIC PG STRUCTURED CREDIT FUND GP LLC , AXONIC PROPERTIES GP LLC , AXONIC PROPERTIES LLC , AXONIC REAL ESTATE DEBT FUND I GP LLC (FKA SOMA SPECIALTY HOLDINGS GP LLC) , AXONIC RESIDENTIAL ASSET FUND I GP, LLC , AXONIC RESIDENTIAL ASSETS FUND I GP LLC , AXONIC RESIDENTIAL ASSETS FUND II GP LLC , AXONIC SPECIAL OPPORTUNITIES FUND 2013-1 GP, LLC , AXONIC SPECIAL OPPORTUNITIES FUND 2014-1 GP LLC , AXONIC SPECIAL OPPORTUNITIES FUND 2015-1 GP LLC , AXONIC SPECIAL OPPORTUNITIES SBL MASTER FUND GP LLC , AXONIC SYSTEMATIC ARBITRAGE GP LLC , GREYARC GLOBAL INVESTORS LLC , SOMA SPECIALTY MANAGEMENT LLC (RELYING ADVISER)

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/06/2012

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.


JURISDICTION EFFECTIVE DATE
Arkansas 06/23/2015
New York 03/31/2014

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