Form D · Hedge Fund

Caisson Breakwater Fund, LP

Scottsville, VA · CIK 0001544284

Offering snapshot reported Mar 8, 2018 · SEC filing

Reported sold
$33.9M
Indefinite offering
Investors reported
33
Form D · investor count
Minimum accepted
$250K
Reported outside-investor minimum
First sale
Aug 1, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$16.9M$33.9MMar 6, 2013: $32,379,835.00Mar 6, 2013Mar 13, 2013: $32,379,835.00Mar 6, 2014: $32,379,835.00Mar 6, 2015: $32,379,835.00Mar 8, 2016: $33,579,835.00Mar 8, 2017: $33,579,835.00Mar 8, 2018: $33,896,842.00Mar 8, 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$33,579,835 → $33,896,842
  • Reported investors32 → 33

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 8, 2018Amendment$33,896,842$317,007vs Mar 8, 201733SEC filing
Mar 8, 2017Amendment$33,579,835$0vs Mar 8, 201632SEC filing
Mar 8, 2016Amendment$33,579,835$1,200,000vs Mar 6, 201532SEC filing
Mar 6, 2015Amendment$32,379,835$0vs Mar 6, 201432SEC filing
Mar 6, 2014Amendment$32,379,835$0vs Mar 13, 201332SEC filing
Mar 13, 2013Amendment$32,379,835$0vs Mar 6, 201332SEC filing
Mar 6, 2013Initial$32,379,835No comparison32SEC filing
Mar 12, 2012Initial$31,129,835No comparison31SEC filing

Offering details

Securities
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
021-192836
Total amount sold represents a conversion of individually managed accounts into LP interests in the Fund. Minimum Investment in Item 11 may be reduced by the GP. Amount sold and number of investors does not include redemptions or withdrawals.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Silver Leaf Partners, LLC126694Silver Leaf Partners, LLC · CRD 126694

Source: Form D, filed Mar 8, 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

CAISSON BREAKWATER FUND, LP

Investment adviser: BOSTON LIGHT ADVISORS, LLC

Gross asset value
$9.39M
Beneficial owners
14
ADV minimum commitment
$1M

Reported in Form ADV on Apr 3, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor BDO DALLAS, Texas, United States
Custodian WELLS FARGO SECURITIES, LLC CHARLOTTE, North Carolina, United States Related to adviser: No
Prime broker WELLS FARGO SECURITIES, LLC CHARLOTTE, North Carolina, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

BDO
PCAOB 243

WELLS FARGO SECURITIES, LLC
SEC 8-65876

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Filing source

Form ADV 1205453 · Apr 3, 2018 · Schedule D 7.B.(1), fund 805-9214318623

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
Boston Light Advisors, Llc Promoter
Jeffrey Roney Executive
J. Edward Roney Jr. Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
537 Valley Street
Scottsville, VA, 24590