Form D · Hedge Fund

Ascend ERSRI Fund LP

Orinda, CA · CIK 0001647666

Offering snapshot reported Jul 13, 2016 · SEC filing

Reported sold
$73.8M
Indefinite offering
Investors reported
1
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jul 1, 2015
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$36.9M$73.8MJul 13, 2015: $73,775,539.00Jul 13, 2015Jul 13, 2016: $73,775,539.00Jul 13, 2016

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.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jul 13, 2016Amendment$73,775,539$0vs Jul 13, 20151SEC filing
Jul 13, 2015Initial$73,775,539No comparison1SEC filing

Offering details

Securities
Equity, 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
021-243547

Source: Form D, filed Jul 13, 2016. 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

ASCEND ERSRI FUND LP

Investment adviser: ASCEND CAPITAL LLC

Gross asset value
$126M
Beneficial owners
2
ADV minimum commitment
$10M

Reported in Form ADV on Apr 7, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STONE COAST FUND SERVICES LLC PORTLAND, Maine, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG, LLP SAN FRANCISCO, California, United States
Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States Related to adviser: No
Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States
Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

BARCLAYS CAPITAL INC.
SEC 8-41342

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

MORGAN STANLEY & CO. LLC
SEC 8-15869

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Filing source

Form ADV 1008976 · Apr 7, 2016 · Schedule D 7.B.(1), fund 805-8003916201

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
N/A Ascend Capital Limited Partnership Executive, Promoter
Malcolm Fairbairn Executive, Promoter
Benjamin D. Slavet Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
4 Orinda Way Suite 200 C
Orinda, CA, 94563