Form D · Other Investment Fund

BattleFin Multi Strategy Fund, LLC

Rowayton, CT · CIK 0001617634

Offering snapshot reported Mar 19, 2018 · SEC filing

Reported sold
$8.89M
Indefinite offering
Investors reported
5
Form D · investor count
Minimum accepted
$500K
Reported outside-investor minimum
First sale
Jul 3, 2014
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$5.5M$11MAug 25, 2014: $0.00Aug 25, 2014Oct 23, 2015: $7,000,000.00Oct 23, 2015Oct 24, 2016: $11,000,000.00Oct 24, 2016Mar 19, 2018: $8,891,447.00Mar 19, 2018

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$11,000,000 → $8,891,447

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 19, 2018Amendment$8,891,447-$2,108,553vs Oct 24, 20165SEC filing
Oct 24, 2016Amendment$11,000,000$4,000,000vs Oct 23, 20155SEC filing
Oct 23, 2015Amendment$7,000,000$7,000,000vs Aug 25, 20144SEC filing
Aug 25, 2014Initial$0No comparison0SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-223535
Offering closed as of March 13, 2018.

Source: Form D, filed Mar 19, 2018. 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

BATTLEFIN MULTI-STRATEGY FUNDS, LLC BATTLEFIN VP THETA FUND SERIES

Investment adviser: CARMA ADVISORY SOCIETA DI CONSULENZA FINANZIARIA SRL

Gross asset value
$2M
Beneficial owners
1
ADV minimum commitment
$250K

Reported in Form ADV on Mar 29, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator ESSENTIAL FUND SERVICES INTERNATIONAL, LLC TARRYTOWN, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG NEW YORK, New York, United States
Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No
Marketer BATTLEFIN ASSET MANAGEMENT, LLC ROWAYTON, Connecticut, United States Related to adviser: No
Prime broker APEX CLEARING CORPORATION NEW YORK, New York, United States
Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States
Prime broker WEEDEN PRIME SERVICES, LLC. GREENWICH, Connecticut, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

KPMG
PCAOB 185

INTERACTIVE BROKERS LLC
SEC 8-47257

BATTLEFIN ASSET MANAGEMENT, LLC
CRD 285145 · SEC 801-110138

APEX CLEARING CORPORATION
CRD 13071 · SEC 8-23522

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

WEEDEN PRIME SERVICES, LLC.
CRD 146103 · SEC 8-67787

Filing source

Form ADV 1194043 · Mar 29, 2018 · Schedule D 7.B.(1), fund 805-8732242472

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
Tim Harrington Executive
Timothy Harrington Director
Wilton Mc Donald Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
137 Rowayton Avenue
Rowayton, CT, 06853