Form D · Other Investment Fund

ALPHAKEYS GAVEA FUND, L.L.C.

New York, NY · CIK 0001522380

Offering snapshot reported Apr 20, 2017 · SEC filing

Reported sold
$48.5M
Indefinite offering
Investors reported
145
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Sep 1, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$24.2M$48.5MSep 14, 2011: $9,075,000.00Sep 14, 2011Apr 13, 2012: $22,815,400.00Jul 12, 2012: $27,841,829.00Sep 12, 2012: $27,841,829.00Sep 11, 2013: $35,491,829.00Apr 14, 2014: $42,234,329.00Apr 16, 2015: $46,309,329.00Apr 15, 2016: $48,084,329.00Apr 20, 2017: $48,484,329.00Apr 20, 2017

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$48,084,329 → $48,484,329
  • Reported investors143 → 145

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 20, 2017Amendment$48,484,329$400,000vs Apr 15, 2016145SEC filing
Apr 15, 2016Amendment$48,084,329$1,775,000vs Apr 16, 2015143SEC filing
Apr 16, 2015Amendment$46,309,329$4,075,000vs Apr 14, 2014137SEC filing
Apr 14, 2014Amendment$42,234,329$6,742,500vs Sep 11, 2013130SEC filing
Sep 11, 2013Amendment$35,491,829$7,650,000vs Sep 12, 2012118SEC filing
Sep 12, 2012Amendment$27,841,829$0vs Jul 12, 201294SEC filing
Jul 12, 2012Amendment$27,841,829$5,026,429vs Apr 13, 201294SEC filing
Apr 13, 2012Amendment$22,815,400$13,740,400vs Sep 14, 201174SEC filing
Sep 14, 2011Initial$9,075,000No comparison24SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-165843
INVESTORS MAY BE CHARGED A PLACEMENT AGENT FEE OF UP TO 2% OF THE INVESTOR'S CAPITAL CONTRIBUTION. PLACEMENT AGENT FEES ARE IN ADDITION TO AN INVESTOR'S CAPITAL CONTRIBUTION AND DO NOT REDUCE AN INVESTOR'S CAPITAL ACCOUNT BALANCE.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
UBS FINANCIAL SERVICES INC.8174

Source: Form D, filed Apr 20, 2017. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

ALPHAKEYS GAVEA FUND LLC

Investment adviser: UBS FUND ADVISOR, L.L.C.

Gross asset value
$21.6M
Beneficial owners
51
ADV minimum commitment
$250K

Reported in Form ADV on Oct 3, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BNY MELLON WILMINGTON, Delaware, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG NEW YORK, New York, United States
Custodian BNY MELLON NEW YORK, New York, United States Related to adviser: No
Marketer UBS FINANCIAL SERVICES INC. WEEHAWKEN, New Jersey, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

ERNST & YOUNG
PCAOB 42

UBS FINANCIAL SERVICES INC.
CRD 8174 · SEC 801-7163

Filing source

Form ADV 1678517 · Oct 3, 2022 · Schedule D 7.B.(1), fund 805-2848062725

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
James Augir Executive
John T. Connors Executive
Daryl Dewbrey Executive
Anna Gindes Executive
Alexander Gurevich Executive
Louis Kleist Executive
Jennifer Magro Executive
Gary Muniz Executive
Brian Opatosky Executive
Jerry Pascucci Executive
Lauren Rios Executive
Ottavio Roseto Executive
Lina Rubin Executive
Nadia Small Executive
George Smith Executive
Lee Thompson Executive
Clifford B. Wattley Executive
Stacie Yates Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Alternative Investments Us 1285 Avenue Of The Americas
New York, NY, 10019