Form D · Other Investment Fund

BGA Horizon Fund, LLC - DRI Nontaxable Series

Boston, MA · CIK 0001602599

Offering snapshot reported Mar 13, 2014 · SEC filing

Reported sold: $4.5M
Investors reported: 21
Minimum accepted: $0
First sale: Mar 5, 2013

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 13, 2014	Initial	$4,495,000	No comparison	21	SEC filing
Mar 13, 2014	Amendment	$4,495,000	$0vs Mar 13, 2014	21	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-213547

Source: Form D, filed Mar 13, 2014. 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

BGA HORIZON FUND, LLC - DRI NONTAXABLE SERIES

Investment adviser: BATTERY GLOBAL ADVISORS, LLC

Gross asset value: $400K
Beneficial owners: 20
ADV minimum commitment: $0

Reported in Form ADV on Nov 4, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NAV CONSULTING, INC OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor SANDLER & COMPANY, P.C. NEEDHAM, Massachusetts, United States

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Prime broker FIDELITY BROKERAGE SERVICES LLC BOSTON, Massachusetts, United States

Provider details

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

SANDLER & COMPANY, P.C.
PCAOB 3709

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

FIDELITY BROKERAGE SERVICES LLC
CRD 7784 · SEC 8-23292

Filing source

Form ADV 1575740 · Nov 4, 2021 · Schedule D 7.B.(1), fund 805-2123497115

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
N/A Battery Global Advisors, Llc	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

1 Marina Park Dr Ste 1150
Boston, MA, 02210