Form D · Hedge Fund
CASTLEROCK FUND LTD
Windsor, CT · CIK 0001461095
Offering snapshot reported Mar 26, 2014 · SEC filing
- Reported sold
- $143M Indefinite offering
- Investors reported
- 188 Form D · investor count
- Minimum accepted
- $100K Reported outside-investor minimum
- First sale
- Sep 1, 1996 As reported in this filing
Fundraising history
Reported soldDates 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$140,557,937 → $142,968,011
- Reported investors187 → 188
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 26, 2014 | Amendment | $142,968,011 | $2,410,074vs Mar 26, 2013 | 188 | SEC filing |
| Mar 26, 2013 | Amendment | $140,557,937 | $0vs Mar 26, 2012 | 187 | SEC filing |
| Mar 26, 2012 | Amendment | $140,557,937 | $8,918,405vs Mar 24, 2011 | 187 | SEC filing |
| Mar 24, 2011 | Amendment | $131,639,532 | $9,646,300vs Mar 25, 2010 | 187 | SEC filing |
| Mar 25, 2010 | Amendment | $121,993,232 | No comparison | 184 | SEC filing |
| Mar 18, 2009 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $87.3K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-129729
Does not include prior investors that had fully redeemed from the Issuer as of March 2009.
Neither Merrill Lynch, Barbara Doran nor Agecroft Partners, LLC currently solicits for the Issuer.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Agecroft Partners, LLC | 139227 | |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | 7691 | |
| Barbara Doran | None | Doran Capital Advisors, Inc. |
Source: Form D, filed Mar 26, 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
CASTLEROCK FUND, LTD.
Investment adviser: CASTLEROCK ASSET MANAGEMENT, INC.
- Gross asset value
- Not reported
- Beneficial owners
- Not reported
- ADV minimum commitment
- Not reported
Reported in Form ADV on Aug 13, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
No provider names available in this fund's imported disclosure.
Provider details
- Annual audit
- Not reported
- Prime brokers
- Not reported
- Custodians
- Not reported
- Administrator other than the adviser
- Not reported
- External marketing
- Not reported
Filing source
Form ADV 940979 · Aug 13, 2015 · Schedule D 7.B.(1), fund 805-5315793888
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.
| Name | Reported role |
|---|---|
| David Bree | Director |
| Graham H. Cook | Director |
| Colin Riegels | Director |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Windsor, CT, 06095