Form D · Hedge Fund

Breton Hill Fund, LP

Toronto, A6 · CIK 0001529378

Offering snapshot reported Aug 18, 2014 · SEC filing

Reported sold: $2.75M
Investors reported: 3
Minimum accepted: $1M
First sale: Sep 1, 2011

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
Aug 18, 2014	Initial	$2,750,000	No comparison	3	SEC filing
Aug 22, 2013	Amendment	$2,750,000	$0vs Sep 12, 2012	3	SEC filing
Sep 12, 2012	Amendment	$2,750,000	$1,750,000vs Sep 13, 2011	3	SEC filing
Sep 13, 2011	Initial	$1,000,000	No comparison	1	SEC filing

Offering details

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

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-223078

The person listed in Item 12 is paid directly or indirectly commisions or similar sales compensation equal to a percentage of the fee paid to the General Parter (or its affiliate) from the assets under management and/or the incentive allocation.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
James David Yearwood	2003613	Optsecurities LLC · CRD 47529

Source: Form D, filed Aug 18, 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

BRETON HILL FUND, LP

Investment adviser: BRETON HILL CAPITAL LTD.

Gross asset value: $2.89M
Beneficial owners: 3
ADV minimum commitment: $1M

Reported in Form ADV on Mar 7, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MORGAN STANLEY FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP TORONTO, Canada

Custodian JP MORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Marketer OPTSECURITIES, LLC CHARLOTTE, North Carolina, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

MORGAN STANLEY & CO. LLC
SEC 8-15869

OPTSECURITIES, LLC
CRD 47529 · SEC 8-51811

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

Filing source

Form ADV 794352 · Mar 7, 2014 · Schedule D 7.B.(1), fund 805-2815154089

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
John Aloisio	Director
Breton Hill Capital Ltd.	Executive, Promoter
Breton Hill G.P. Ltd.	Executive, Promoter
Ray Carroll	Executive
Roisin Cater	Director
Keith L. Day	Director
Gary C. Linford	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Breton Hill G.P. Ltd 1881 Yonge Street, Suite 704
Toronto, A6, M4S 3C4