THE PARTNERSHIP
QUANTUM GLOBAL & ASSOCIATES FUND LP (the “Partnership” or “Fund”) is a Delaware Limited Partnership.
GENERAL PARTNER
QUANTUM GLOBAL & ASSOCIATES MANAGEMENT LLC (“General Partner”) is a New York Limited Liability Company.
INVESTMENT ADVISER
QUANTUM GLOBAL & ASSOCIATES ADVISORS LLC (the “Investment Advisor”) is a New York Limited Liability Company. QUANTUM GLOBAL & ASSOCIATES ADVISORS LLC is exempt from registration as an investment advisor pursuant to N.Y. Gen. Bus. Law § 359‑eee(a)(5) and N.Y. Comp. Codes R. & Regs. Tit. 13, § 11.13(a)(5) excludes from the definition of “investment adviser” a person that has “sold, during the preceding twelve month period, investment advisory services to fewer than six persons residing in [the state of New York] exclusive of financial institutions and institutional buyers.” Under N.Y. Comp. Codes R. & Regs. Tit. 13, § 11.12(a)(2), an entity that receives investment advice based on its investment objectives rather than the individual investment objectives of its owners is deemed to be a single person, so that a private fund adviser managing less than 6 funds would typically be exempt. In addition, the definition of institutional buyer, which includes any entity “not formed for the specific purpose of acquiring the securities offered, with total assets in excess of $ 10,000,000″ will also have the effect of excluding many private funds from the count. (see N.Y. Comp. Codes R. & Regs. Tit. 13, § 11.12(e)(9)).