0001752724-22-279625.txt : 20221214 0001752724-22-279625.hdr.sgml : 20221214 20221214124904 ACCESSION NUMBER: 0001752724-22-279625 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221214 DATE AS OF CHANGE: 20221214 EFFECTIVENESS DATE: 20221214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERPARK FUNDS TRUST CENTRAL INDEX KEY: 0001494928 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-22431 FILM NUMBER: 221461649 BUSINESS ADDRESS: STREET 1: 156 WEST 56TH STREET STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-484-2100 MAIL ADDRESS: STREET 1: 156 WEST 56TH STREET STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 0001494928 S000030031 RiverPark Large Growth Fund C000092087 Retail Class RPXFX C000092088 Institutional Class RPXIX C000092089 C Class 0001494928 S000030032 Wedgewood Fund C000092090 Retail Class RWGFX C000092091 Institutional Class RWGIX C000092092 C Class 0001494928 S000030034 RiverPark Short Term High Yield Fund C000092096 Retail Class RPHYX C000092097 Institutional Class RPHIX 0001494928 S000036411 RiverPark Long/Short Opportunity Fund C000111376 Class C Shares C000111377 Institutional Class RLSIX C000111378 Retail Class RLSFX 0001494928 S000041908 RiverPark Strategic Income Fund C000130188 C Class Shares C000130189 Institutional Class Shares RSIIX C000130190 Retail Class Shares RSIVX 0001494928 S000063344 RiverPark Floating Rate CMBS Fund C000205366 Institutional Class Shares RCRIX C000205367 Retail Class Shares RCRFX N-CEN 1 primary_doc.xml X0404 N-CEN LIVE 0001494928 XXXXXXXX 811-22431 N-1A true RiverPark Funds Trust 811-22431 0001494928 549300MZL2U4WJYG1566 156 WEST 56TH STREET 17TH FLOOR NEW YORK 10019 US-NY US 2124842100 Goldman Sachs & Co. LLC 200 West Street New York 10282-2198 212-902-1000 Records as Prime Broker for Trust RiverPark Advisors, LLC 156 W 56th St New York 10019 (212) 484-2100 Records as Advisor for Trust SEI Investments Global Fund Services 1 Freedom Valley Drive OAKS 19456 610-676-1000 Records as Administrator for Trust Cohanzick Management, LLC 427 Bedford Rd # 230 Pleasantville 10570 (914) 741-9600 Records as sub-advisor for Trust DST SYSTEMS, INC. 311 W. 11th Street Kansas City 64105 816-435-1000 Records As Transfer Agent For Trust Wedgewood Partners, Inc. 9909 Clayton Rd # 103 St. Louis 63124 (314) 567-6407 Records as sub-advisor for Trust BROWN BROTHERS HARRIMAN & CO. 50 Post Office Square Boston 02110-1548 617-772-1818 Records as Custodian for Trust N N N-1A 6 Y Richard Browne N/A N Ira Balsam N/A N Mitch Rubin N/A Y David Sachs N/A N Morty Schaja N/A Y William Woolverton N/A 480 E. Swedesford Road Suite 220 Wayne 19087 XXXXXX N N N N N N N SEI Investments Distribution Co. 8-27897 000010690 N/A N N Cohen & Company, Ltd 925 N/A N N N N N N N RIVERPARK SHORT TERM HIGH YIELD FUND S000030034 549300ZIEZ88YN1W1K96 N 2 0 0 N/A N N Y N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4)) Rule 18f-4 (17 CFR 270.18f-4) Y N Y N RiverPark Advisors, LLC 801-70321 000150646 549300MZL2U4WJYG1566 N Cohanzick Management, LLC 801-70109 000149772 RZNSSMU0RI3694JCZW27 N N DST SYSTEMS, INC. 84-1963 21B7QCD05XOK0YTYOP98 N N N Pricing Direct 549300WIC0TOJ7N7GD54 N Bloomberg 254900BF4G8VMW8GG471 N IHS Markit 549300HLPTRASHS0E726 GB N Thomson Reuters Corporation 549300561UZND4C7B569 CA N S&P 549300U4VWNITEKO2881 N Intercontinental Exchange, Inc. 5493000F4ZO33MV32P92 N N BROWN BROTHERS HARRIMAN & CO. 5493006KMX1VFTPYPW14 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N JEFFERIES & CO., INC. 008-15074 SEC File Number N N DST SYSTEMS, INC. 84-00448 SEC File Number N N CITIGROUP GLOBAL MARKETS, INC. 008-08177 SEC File Number N N CHASE SECURITIES, INC 008-35008 SEC File Number N N BANC OF AMERICA INVESTMENT SERVICES, INC. 008-69787 SEC File Number N N SUNTRUST CAPITAL MARKETS, INC. 008-17212 SEC File Number N N PERSHING TRADING COMPANY, L.P. 008-17574 SEC File Number N N WELLS FARGO SECURITIES LLC 008-65876 SEC File Number N N R.W. BAIRD INC. 008-00497 SEC File Number N N GOLDMAN SACHS GROUP, INC. 008-00129 SEC File Number N N JP MORGAN 008-35008 SEC File Number N N N SEI INVESTMENTS GLOBAL FUNDS SERVICES 801-24593 SEC File Number N N N Goldman Sachs 008-00129 000000361 FOR8UP27PHTHYVLBNG30 13151.00000000 Oscar Gruss 8-22371 000002091 549300V78DH9XCK5UI63 99572.00000000 Jefferies & Company 008-15074 000002347 58PU97L1C0WSRCWADL48 10316.00000000 Jones Trading 008-26089 000006888 213800DIYIKDWRCFOC55 101384.00000000 Mizuho Securities 008-37710 000019647 7TK5RJIZDFROZCA6XF66 10887.00000000 Cantor Fitzgerald 008-00201 000000134 5493004J7H4GCPG6OB62 82159.00000000 Credit Suisse First Boston 008-00422 000000816 1V8Y6QCX6YMJ2OELII46 9937.00000000 GMP Securities 008-83237 001416435 549300QXVHD3G589TO05 10107.00000000 Cowen and Co. 008-40756 000023857 5493008QI0EFC5WBED75 44167.00000000 RW Pressprich 8-42547 000026460 549300N7J0JV1QRBLW74 31890.00000000 443967.00000000 GOLDMAN SACHS 008-00129 000000361 FOR8UP27PHTHYVLBNG30 418313073.00000000 BANK OF AMERICA 008-69787 000283942 549300HN4UKV1E2R3U73 969185028.00000000 MORGAN STANLEY & CO, INC 008-15869 000008209 9R7GPTSO7KV3UQJZQ078 126424139.00000000 ROBERT W. BAIRD INC. 008-00497 000008158 549300772UJAHRD6LO53 201766074.00000000 CANTOR FITZGERALD INC (MUNICIPALS) 008-00201 000000134 5493004J7H4GCPG6OB62 144266324.99000001 WASHOVIA SECURITIES 008-65876 000126292 VYVVCKR63DVZZN70PB21 301068348.00000000 PERSHING LLC 008-17574 000007560 ZI8Q1A8EI8LQFJNM0D94 646746232.00000000 CITIGROUP GLOBAL MARKETS 008-08177 000007059 MBNUM2BPBDO7JBLYG310 474225719.00000000 JP MORGAN CHASE SECURITIES 008-35008 000000079 ZBUT11V806EZRVTWT807 533763872.00000000 WEDBUSH MORGAN SECURITIES, INC. 8-12987 000000877 549300CSX55MXZ47EI78 188516102.00000000 5417136509.00000000 N 1029999144.00000000 N N N N WEDGEWOOD FUND S000030032 549300VL2MKXS08Y4I88 N 2 0 0 N/A Y N Y N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Y Y Y Y RiverPark Advisors, LLC 801-70321 000150646 549300MZL2U4WJYG1566 N Wedgewood Partners, Inc. 801-31746 000021923 N/A N N DST SYSTEMS, INC. 84-1963 21B7QCD05XOK0YTYOP98 N N N Intercontinental Exchange, Inc. 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 GB N Thomson Reuters Corporation 549300561UZND4C7B569 CA N Pricing Direct 549300WIC0TOJ7N7GD54 N S&P 549300U4VWNITEKO2881 N Bloomberg 254900BF4G8VMW8GG471 N N BROWN BROTHERS HARRIMAN & CO. 5493006KMX1VFTPYPW14 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST SYSTEMS, INC. 21B7QCD05XOK0YTYOP98 N N PIPER JAFFRAY 008-15204 SEC File Number N N JEFFERIES & CO., INC. 008-15074 SEC File Number N N BLAIR, WILLIAM & CO. LLC 008-02698 SEC File Number N N JP MORGAN 008-35008 SEC File Number N N GOLDMAN SACHS CO. 008-00129 SEC File Number N N BARCLAYS CAPITAL INC. 008-41342 SEC File Number N N RAYMOND JAMES FINANCIAL SERVICES, INC. 008-10999 SEC File Number N N RBC DAIN RAUSCHER INC. 008-45411 SEC File Number N N MERRILL LYNCH, PIERCE, FENNER &S SMIT, INC. 008-07221 SEC File Number N N SANFORD C. BERNSTEIN & CO., INC. 008-52942 SEC File Number N N N SEI INVESTMENTS GLOBAL FUNDS SERVICES 801-24593 SEC File Number N N N Goldman Sachs 008-00129 000000361 FOR8UP27PHTHYVLBNG30 4566.00000000 4566.00000000 0.00000000 N 35852035.00000000 N N N N RIVERPARK LONG/SHORT OPPORTUNITY FUND S000036411 5493000DF5G52TXNBM62 N 2 0 0 N/A N N Y N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 18f-4 (17 CFR 270.18f-4) Y Y Y N RiverPark Advisors, LLC 801-70321 000150646 549300MZL2U4WJYG1566 N DST SYSTEMS, INC. 84-1963 21B7QCD05XOK0YTYOP98 N N N Intercontinental Exchange, Inc. 5493000F4ZO33MV32P92 N S&P 549300U4VWNITEKO2881 N Thomson Reuters Corporation 549300561UZND4C7B569 CA N IHS Markit 549300HLPTRASHS0E726 GB N Pricing Direct 549300WIC0TOJ7N7GD54 N Bloomberg 254900BF4G8VMW8GG471 N N BROWN BROTHERS HARRIMAN & CO. 5493006KMX1VFTPYPW14 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST SYSTEMS, INC. 21B7QCD05XOK0YTYOP98 N N GOLDMAN SACHS CO. 008-00129 SEC File Number N N BARCLAYS CAPITAL INC. 008-41342 SEC File Number N N SANFORD C. 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BERNSTEIN & CO., INC. 008-52942 SEC File Number N N PERSHING LLC 008-17574 SEC File Number N N PIPER JAFFRAY 008-15204 SEC File Number N N GOLDMAN SACHS CO. 008-00129 SEC File Number N N DST SYSTEMS, INC. 84-00448 SEC File Number N N REDBURN PARTNERS 008-67320 SEC File Number N N N SEI INVESTMENTS GLOBAL FUNDS SERVICES 801-24593 SEC File Number N N N Goldman Sachs 008-00129 000000361 FOR8UP27PHTHYVLBNG30 78217.00000000 Schwab 008-16514 000005393 549300ZP8XN77GK5BS04 2041.00000000 80258.00000000 0.00000000 N 60189674.00000000 N N N N RIVERPARK STRATEGIC INCOME FUND S000041908 5493006VQ17TUYGQ5V15 N 2 0 0 N/A N N Y N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 18f-4 (17 CFR 270.18f-4) Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4)) Y N Y N RiverPark Advisors, LLC 801-70321 000150646 549300MZL2U4WJYG1566 N Cohanzick Management, LLC 801-70109 000149772 RZNSSMU0RI3694JCZW27 N N DST SYSTEMS, INC. 84-1963 21B7QCD05XOK0YTYOP98 N N N Intercontinental Exchange, Inc. 5493000F4ZO33MV32P92 N S&P 549300U4VWNITEKO2881 N Bloomberg 254900BF4G8VMW8GG471 N Pricing Direct 549300WIC0TOJ7N7GD54 N Thomson Reuters Corporation 549300561UZND4C7B569 CA N IHS Markit 549300HLPTRASHS0E726 GB N N BROWN BROTHERS HARRIMAN & CO. 5493006KMX1VFTPYPW14 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N GOLDMAN SACHS GROUP, INC. 008-00129 SEC File Number N N JP MORGAN 008-35008 SEC File Number N N WACHOVIA SECURITIES 008-65876 SEC File Number N N JEFFERIES & CO., INC. 008-15074 SEC File Number N N BANCKOF AMERICA INVESTMENT SERVICES, INC. 008-69787 SEC File Number N N CITIGROUP GLOBAL MARKETS, INC. 008-08177 SEC File Number N N WELLS FARGO SECURITIES, LLC 008-65876 SEC File Number N N CHASE SECURITIES, INC 008-35008 SEC File Number N N SUNTRUST CAPITAL MARKETS, INC. 008-17212 SEC File Number N N DEUTSCHE BANK SECURITIES INC. 008-17822 SEC File Number N N DST SYSTEMS, INC. 21B7QCD05XOK0YTYOP98 N N N SEI INVESTMENTS GLOBAL FUNDS SERVICES 801-24593 SEC File Number N N N Oscar Gruss 8-22371 000002091 549300V78DH9XCK5UI63 33930.00000000 Bank of America 008-69787 000283942 549300HN4UKV1E2R3U73 19950.00000000 Cantor Fitzgerald 008-00201 000000134 5493004J7H4GCPG6OB62 16397.00000000 Jones Trading 008-26089 000006888 213800DIYIKDWRCFOC55 16789.00000000 BTIG 008-65473 000122225 549300GTG9PL6WO3EC51 3119.00000000 Riley B & Co, Inc 008-49016 000040355 549300AEVMODVBY3QS51 3410.00000000 CIBC N/A N/A 2IGI19DL77OX0HC3ZE78 CA 24362.00000000 Jefferies & Company 008-15074 000002347 58PU97L1C0WSRCWADL48 3680.00000000 Cowen and Co. 008-40756 000023857 5493008QI0EFC5WBED75 8684.00000000 Southwest Securities 008-45123 000006220 549300IXU82PMU6XZT45 3161.00000000 149817.00000000 MERRILL LYNCH, PIERCE, FENNER & SMITH 008-07221 000007691 8NAV47T0Y26Q87Y0QP81 13205298.00000000 JEFFERIES LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 13036794.00000000 RBC DAIN RAUSCHER INC. 008-45411 000031194 549300LCO2FLSSVFFR64 13028034.00000000 JP MORGAN CHASE SECURITIES 008-35008 000000079 ZBUT11V806EZRVTWT807 23444649.00000000 GOLDMAN SACHS 008-00129 000000361 FOR8UP27PHTHYVLBNG30 28119293.00000000 PERSHING LLC 008-17574 000007560 ZI8Q1A8EI8LQFJNM0D94 23348151.00000000 BANK OF AMERICA 008-69787 000283942 549300HN4UKV1E2R3U73 85217895.00000000 NATIONAL FINANCIAL SERVICES CORPORATION 008-26740 000013041 549300JRHF1MHHWUAW04 9711466.00000000 CITIGROUP GLOBAL MARKETS 008-08177 000007059 MBNUM2BPBDO7JBLYG310 22212559.00000000 CREDIT SUISSE FIRST BOSTON LLC. 008-00422 000000816 1V8Y6QCX6YMJ2OELII46 11351749.00000000 30422388.00000000 N 204403518.00000000 N N N N false false true false false false INTERNAL CONTROL RPT 2 RiverPark_ICL.txt INTERNAL CONTROL LETTER REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of RiverPark Funds Trust In planning and performing our audit of the financial statements of RiverPark Funds Trust (the Trust), comprising RiverPark Large Growth Fund, Wedgewood Fund, RiverPark Short Term High Yield Fund, RiverPark Long/Short Opportunity Fund, RiverPark Strategic Income Fund, and RiverPark Floating Rate CMBS Fund (the Funds) as of and for the year ended September 30, 2022, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Funds internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Funds internal control over financial reporting. Accordingly, we express no such opinion. The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A funds internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles (GAAP). A funds internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with GAAP, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and Trustees of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a funds assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Funds annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Funds internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Funds internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of September 30, 2022. This report is intended solely for the information and use of management and the Board of Trustees of the Funds and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. COHEN & COMPANY, LTD. Cleveland, Ohio November 29, 2022