Form D · Hedge Fund

CASTLEROCK PARTNERS II L P

New York, NY · CIK 0001113146

Offering snapshot reported Mar 26, 2014 · SEC filing

Reported sold
$20.9M
Indefinite offering
Investors reported
58
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
May 1, 2000
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$10.5M$20.9MMar 25, 2010: $20,324,000.00Mar 25, 2010Mar 24, 2011: $20,949,000.00Mar 24, 2011Mar 26, 2012: $20,949,000.00Mar 26, 2012Mar 26, 2013: $20,949,000.00Mar 26, 2013Mar 26, 2014: $20,949,000.00Mar 26, 2014

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
Mar 26, 2014Amendment$20,949,000$0vs Mar 26, 201358SEC filing
Mar 26, 2013Amendment$20,949,000$0vs Mar 26, 201258SEC filing
Mar 26, 2012Amendment$20,949,000$0vs Mar 24, 201158SEC filing
Mar 24, 2011Amendment$20,949,000$625,000vs Mar 25, 201058SEC filing
Mar 25, 2010Amendment$20,324,000No comparison56SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$28.2K (estimated)
Finders' fees
$0
Form D file number
021-129831
Does not include prior investors that had fully redeemed from the Issuer as of March 2009.
Barbara Doran has not solicited for the Issuer since 2001.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Barbara DoranNoneDoran 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 PARTNERS II, L.P.

Investment adviser: CASTLEROCK ASSET MANAGEMENT, INC.

Gross asset value
$0
Beneficial owners
6
ADV minimum commitment
$500K

Reported in Form ADV on Aug 13, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor MCGLADREY LLP NEW YORK, New York, United States
Custodian FIRST REPUBLIC NEW YORK, New York, United States Related to adviser: No
Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker UBS SECURITIES LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No
Filing source

Form ADV 940979 · Aug 13, 2015 · Schedule D 7.B.(1), fund 805-3659786550

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
Ellen H. Adams Executive
Anthony Federici Executive
Maria Lamari Burden Executive
Daniel Sheridan Executive
Paul P. Tanico Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
101 Park Avenue 23 Rd Floor
New York, NY, 10178