Form D · Hedge Fund
ASCEND PARTNERS FUND I LP
Orinda, CA · CIK 0001121653
Offering snapshot reported Jan 12, 2017 · SEC filing
- Reported sold
- $123M Indefinite offering
- Investors reported
- 27 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jan 1, 2000 As reported in this filing
Fundraising history
Reported soldDates 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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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jan 12, 2017 | Amendment | $122,962,444 | $0vs Jan 19, 2016 | 27 | SEC filing |
| Jan 19, 2016 | Amendment | $122,962,444 | $100,000vs Jan 16, 2015 | 27 | SEC filing |
| Jan 16, 2015 | Amendment | $122,862,444 | $1,290,420vs Jan 16, 2014 | 26 | SEC filing |
| Jan 16, 2014 | Amendment | $121,572,024 | $190,536vs Dec 12, 2012 | 20 | SEC filing |
| Dec 12, 2012 | Amendment | $121,381,488 | $0vs Mar 16, 2012 | 19 | SEC filing |
| Mar 16, 2012 | Amendment | $121,381,488 | $653,078vs Mar 16, 2011 | 19 | SEC filing |
| Mar 16, 2011 | Amendment | $120,728,410 | $1,945,000vs Mar 29, 2010 | 18 | SEC filing |
| Mar 29, 2010 | Amendment | $118,783,410 | $6,083,075vs Mar 16, 2009 | 15 | SEC filing |
| Mar 16, 2009 | Amendment | $112,700,335 | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-42403
The activities of CAIS Capital LLC (see Item 12) in connection with the offering are limited to use by the issuer of CAIS Capital LLC's portal, which brings together fund managers and investment advisors.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| n/a | None | CAIS Capital LLC · CRD 154512 |
Source: Form D, filed Jan 12, 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
ASCEND PARTNERS FUND I LP
Investment adviser: ASCEND CAPITAL LIMITED PARTNERSHIP
- Gross asset value
- $9.92M
- Beneficial owners
- 8
- ADV minimum commitment
- $1M
Reported in Form ADV on Nov 9, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
KPMG, LLP
PCAOB 185
BARCLAYS CAPITAL INC.
SEC 8-41342
DEUTSCHE BANK SECURITIES INC.
SEC 8-17822
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359
MORGAN STANLEY & CO. LLC
SEC 8-15869
CAIS CAPITAL LLC
CRD 154512 · SEC 8-68646
BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342
DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359
MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869
Filing source
Form ADV 1145517 · Nov 9, 2017 · Schedule D 7.B.(1), fund 805-8038222716
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.
| Name | Reported role |
|---|---|
| Malcolm Fairbairn | Executive |
| Benjamin D. Slavet | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Orinda, CA, 94563