Form D · Other Investment Fund

Candlewood Financial Opportunities Fund, LLC

Rye, NY · CIK 0001583022

Offering snapshot reported Aug 11, 2016 · SEC filing

Reported sold
$11.3M
Indefinite offering
Investors reported
18
Form D · investor count
Minimum accepted
$50K
Reported outside-investor minimum
First sale
Jul 19, 2013
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$5.67M$11.3MAug 5, 2013: $11,345,000.00Aug 5, 2013Aug 4, 2014: $11,345,000.00Aug 4, 2014Aug 14, 2015: $11,345,000.00Aug 14, 2015Aug 11, 2016: $11,345,000.00Aug 11, 2016

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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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Aug 11, 2016Amendment$11,345,000$0vs Aug 14, 201518SEC filing
Aug 14, 2015Amendment$11,345,000$0vs Aug 4, 201418SEC filing
Aug 4, 2014Amendment$11,345,000$0vs Aug 5, 201318SEC filing
Aug 5, 2013Initial$11,345,000No comparison18SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-200707

Source: Form D, filed Aug 11, 2016. 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

CANDLEWOOD FINANCIAL OPPORTUNITIES FUND, LLC

Investment adviser: CANDLEWOOD INVESTMENT GROUP, LP

Gross asset value
$0
Beneficial owners
0
ADV minimum commitment
$500K

Reported in Form ADV on May 22, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CITCO FUND SERVICES (CAYMAN ISLANDS) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
No
Administrator other than the adviser
Yes
External marketing
No

KPMG LLP
PCAOB 185

Filing source

Form ADV 1219568 · May 22, 2018 · Schedule D 7.B.(1), fund 805-7193280936

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
N/A Candlewood Financial Opportunities General, Llc Executive
N/A Candlewood Investment Group Financial Advisors, Llc Executive
Michael Lau Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
555 Theodore Fremd Suite C 303
Rye, NY, 10580