Form D · Hedge Fund

DC Investments Neutral Fund, LLC

Vienna, VA · CIK 0001670722

Offering snapshot reported Aug 29, 2017 · SEC filing

Reported sold: $158M
Investors reported: 2
Minimum accepted: $0
First sale: Apr 1, 2016

Fundraising history

Reported sold

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$148,162,182 → $158,162,182

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Aug 29, 2017	Amendment	$158,162,182	$10,000,000vs Sep 2, 2016	2	SEC filing
Sep 2, 2016	Amendment	$148,162,182	$3,000,000vs Jul 12, 2016	2	SEC filing
Jul 12, 2016	Amendment	$145,162,182	$71,619,488vs Apr 13, 2016	2	SEC filing
Apr 13, 2016	Amendment	$73,542,694	$36,550vs Apr 11, 2016	1	SEC filing
Apr 11, 2016	Initial	$73,506,144	No comparison	1	SEC filing

Offering details

Securities: Equity, 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: 021-261023

Source: Form D, filed Aug 29, 2017. 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

DC INVESTMENTS NEUTRAL FUND, LLC

Investment adviser: DEAN CAPITAL INVESTMENTS MANAGEMENT, LLC

Gross asset value: $112M
Beneficial owners: 1
ADV minimum commitment: $0

Reported in Form ADV on Jan 10, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MUFG FUND SERVICES (CAYMAN) LIMITED GEORGE TOWN, Cayman Islands Investor statements: No (provided to no investors) Related to adviser: No

Auditor RSM US LLP MCLEAN, Virginia, United States

Custodian BANK OF AMERICA, N.A. NEW YORK, New York, United States Related to adviser: No

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian GOLDMAN SACHS INTERNATIONAL NEW YORK, New York, United States Related to adviser: No

Custodian MERRILL LYNCH INTERNATIONAL NEW YORK, New York, United States Related to adviser: No

Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No

Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Custodian UNITED BANK VIENNA, Virginia, United States Related to adviser: No

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

RSM US LLP
PCAOB 49

BANK OF AMERICA, N.A.
LEI B4TYDEB6GKMZO031MB27

GOLDMAN SACHS & CO. LLC
SEC 8-129

GOLDMAN SACHS INTERNATIONAL
LEI W22LROWP2IHZNBB6K528

MERRILL LYNCH INTERNATIONAL
LEI GGDZP1UYGU9STUHRDP48

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

UNITED BANK
LEI 549300MKOZ81ZWTNKB12

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Filing source

Form ADV 1262969 · Jan 10, 2019 · Schedule D 7.B.(1), fund 805-6303665176

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
Name	Reported role
N/A Dean Capital Investments Management, Llc	Executive
James P. Smist	Executive
Dean L. Wilde, Ii	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

8065 Leesburg Pike Fifth Floor
Vienna, VA, 22182