Form D · Other Investment Fund

ASJC Global LLC - Series 3

New York, NY · CIK 0001845683

Offering snapshot reported Feb 11, 2022 · SEC filing

Reported sold
$3.48M
Indefinite offering
Investors reported
3
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jan 14, 2021
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$1.74M$3.48MFeb 11, 2021: $3,476,945.00Feb 11, 2021Feb 11, 2022: $3,476,945.00Feb 11, 2022

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

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 11, 2022Amendment$3,476,945$0vs Feb 11, 20213SEC filing
Feb 11, 2021Initial$3,476,945No comparison3SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-389220

Source: Form D, filed Feb 11, 2022. 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

ASJC GLOBAL LLC - SERIES 3

Investment adviser: COHEN & COMPANY FINANCIAL MANAGEMENT, LLC

Gross asset value
$1.34M
Beneficial owners
4
ADV minimum commitment
$100K

Reported in Form ADV on Nov 1, 2023. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator ARTEX FUND SERVICES LTD HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor GRANT THORNTON LLC PHILADELPHIA, Pennsylvania, United States
Custodian CIBC BANK USA CHICAGO, Illinois, United States Related to adviser: No
Custodian RBC CAPITAL MARKETS, LLC MINNEAPOLIS, Minnesota, United States Related to adviser: No
Custodian WATERMILL INSTITUTIONAL TRADING LLC JERSEY CITY, New Jersey, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

GRANT THORNTON LLC
PCAOB 248

RBC CAPITAL MARKETS, LLC
SEC 8-45411

WATERMILL INSTITUTIONAL TRADING LLC
SEC 8-68311

Filing source

Form ADV 1797246 · Nov 1, 2023 · Schedule D 7.B.(1), fund 805-3108384396

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
Asjc Global Management Llc Executive, Promoter
Cohen & Company Financial Management, Llc Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
3 Columbus Circle 24 Th Floor
New York, NY, 10019