Form D · Other Investment Fund

CORE PLUS BOND FUND LLC

Minneapolis, MN · CIK 0001370698

Offering snapshot reported Mar 4, 2011 · SEC filing

Reported sold
$181M
Indefinite offering
Investors reported
10
Form D · investor count
Minimum accepted
$5M
Reported outside-investor minimum
First sale
Jun 30, 2006
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$90.5M$181MMar 11, 2010: $170,866,208.00Mar 11, 2010Mar 4, 2011: $181,059,159.00Mar 4, 2011

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$170,866,208 → $181,059,159

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 4, 2011Amendment$181,059,159$10,192,951vs Mar 11, 201010SEC filing
Mar 11, 2010Initial$170,866,208No comparison10SEC filing
Jul 13, 2006PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$12.4K
Finders' fees
$0
Form D file number
021-92731
Sales Commissions are as of the most recently completed fiscal year end

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Clint Doroff2920137USBII · CRD 17868
Tim Hennig2732681USBII · CRD 17868
Mark Pilon2154367USBII · CRD 17868

Source: Form D, filed Mar 4, 2011. 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

CORE PLUS BOND FUND, LLC

Investment adviser: NUVEEN ASSET MANAGEMENT, LLC

Gross asset value
$31M
Beneficial owners
3
ADV minimum commitment
$5M

Reported in Form ADV on Mar 22, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator U.S. BANCORP FUND SERVICES, LLC MILWAUKEE, Wisconsin, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP LOS ANGELES, California, United States
Custodian U.S. BANK NATIONAL ASSOCIATION CINCINNATI, Ohio, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

KPMG LLP
PCAOB 185

U.S. BANK NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M02

Filing source

Form ADV 1272735 · Mar 22, 2019 · Schedule D 7.B.(1), fund 805-5985091722

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
Stuart J. Cohen Executive
Scott S. Grace Executive
Sherri A. Hlavacek Executive
William T. Huffman Executive
Timothy N. Kafesjian Executive
Mary E. Keefe Executive
John P. Kinsella Executive
David H. Lui Executive
Robert Luse Executive
John L. Mac Carthy Executive
Charles R. Manzoni Director, Executive
Larry W. Martin Executive
Kevin J. Mc Carthy Executive
Jason K. Mitchell Executive
Kathleen L. Prudhomme Executive
Jody A. Rose Executive
Thomas S. Schreier Director, Executive
Joseph M. Ulrey Director, Executive
Frank L. Wheeler Executive
Gifford R. Zimmerman Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
800 Nicollet Mall
Minneapolis, MN, 55402