Form D · Hedge Fund

ARCHSTONE EQUITY STRATEGIES FUND LTD

Grand Cayman, E9 · CIK 0001322305

Offering snapshot reported Jan 19, 2017 · SEC filing

Reported sold: $301M
Investors reported: 82
Minimum accepted: $100K
First sale: Jan 1, 2005

Fundraising history

Reported sold

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$292,453,022 → $301,448,727

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 19, 2017	Amendment	$301,448,727	$8,995,705vs Jan 22, 2016	82	SEC filing
Jan 22, 2016	Amendment	$292,453,022	$9,555,000vs Jan 22, 2015	82	SEC filing
Jan 22, 2015	Amendment	$282,898,022	$29,804,892vs Jan 24, 2014	80	SEC filing
Jan 24, 2014	Amendment	$253,093,130	-$15,000vs Feb 6, 2013	75	SEC filing
Feb 6, 2013	Amendment	$253,108,130	$5,550,000vs Dec 21, 2012	69	SEC filing
Dec 21, 2012	Amendment	$247,558,130	$6,869,708vs Jan 9, 2012	69	SEC filing
Jan 9, 2012	Amendment	$240,688,422	$29,909,320vs Jan 12, 2011	48	SEC filing
Jan 12, 2011	Amendment	$210,779,102	$15,260,000vs Feb 11, 2010	47	SEC filing
Feb 11, 2010	Amendment	$195,519,102	$17,464,000vs Mar 24, 2009	45	SEC filing
Mar 24, 2009	Amendment	$178,055,102	No comparison	Not reported	SEC filing
Mar 24, 2009	Amendment	$178,055,102	No comparison	Not reported	SEC filing
Mar 3, 2009	Amendment	$178,055,102	No comparison	Not reported	SEC filing
Mar 24, 2005	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $2.94K (estimated)
Finders' fees: $0
Form D file number: 021-75402

Responses in Items #13 and #14 are estimates.

Estimated fees are based upon the receipt of a percentage of the portion of the AUM contributed as a result of placement agent services, starting from the inception of the Fund.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Morgan Keegan and Company, Inc. ("MK&C")	4161	Morgan Keegan and Company, Inc. ("MK&C") · CRD 4161
RAYMOND JAMES & ASSOCIATES, INC. ("RJ&A")	705	RAYMOND JAMES & ASSOCIATES, INC. ("RJ&A") · CRD 705

Source: Form D, filed Jan 19, 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

ARCHSTONE EQUITY STRATEGIES FUND, LTD.

Investment adviser: A.P. MANAGEMENT COMPANY, LLC

Gross asset value: $79.8M
Beneficial owners: 13
ADV minimum commitment: $1M

Reported in Form ADV on Aug 2, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Fund administrator SS&C TECHNOLOGIES, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LTD. GRAND CAYMAN, Cayman Islands

Custodian BANK OF NEW YORK MELLON, THROUGH ITS AGENT AND SUBSIDIARY CHARLES FREDERIC & CO. NEW YORK, New York, United States Related to adviser: No

Custodian THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION, NJ JERSEY CITY, New Jersey, United States Related to adviser: No

Marketer BRAZILINVEST SÃO PAULO, Brazil Related to adviser: No

Marketer RAYMOND JAMES FINANCIAL SERVICES, INC. ST. PETERSBURG, Florida, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST & YOUNG LTD.
PCAOB 1655

RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD 6694 · SEC 8-17983

Filing source

Form ADV 1232774 · Aug 2, 2018 · Schedule D 7.B.(1), fund 805-7336122631

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
Name	Reported role
David Bree	Director
Joseph Pignatelli	Director
Alfred J Shuman	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Citco Fund Services (Cayman Islands) Ltd Regatta Office Park, West Bay Road
Grand Cayman, E9, 00000