Form D · Other Investment Fund

DGV Multi-Factor Fund LLC

Minnetonka, MN · CIK 0001703468

Offering snapshot reported Apr 7, 2020 · SEC filing

Reported sold
$132M
Indefinite offering
Investors reported
6
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Apr 1, 2017
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$66.1M$132MApr 12, 2017: $36,000,000.00Apr 12, 2017Apr 12, 2018: $131,131,000.00Apr 12, 2018Apr 10, 2019: $131,231,000.00Apr 10, 2019Apr 7, 2020: $132,231,000.00Apr 7, 2020

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$131,231,000 → $132,231,000

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 7, 2020Amendment$132,231,000$1,000,000vs Apr 10, 20196SEC filing
Apr 10, 2019Amendment$131,231,000$100,000vs Apr 12, 20186SEC filing
Apr 12, 2018Amendment$131,131,000$95,131,000vs Apr 12, 20175SEC filing
Apr 12, 2017Initial$36,000,000No comparison2SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.1, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-284584

Source: Form D, filed Apr 7, 2020. 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

DGV MULTI-FACTOR FUND LLC

Investment adviser: DGV SOLUTIONS LP

Gross asset value
$474K
Beneficial owners
5
ADV minimum commitment
$1M

Reported in Form ADV on Mar 17, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LLP MINNEAPOLIS, Minnesota, United States
Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No
Custodian NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States Related to adviser: No
Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No
Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States
Prime broker NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

ERNST & YOUNG LLP
PCAOB 42

INTERACTIVE BROKERS LLC
SEC 8-47257

NORTHERN TRUST SECURITIES, INC.
SEC 8-23689

THE NORTHERN TRUST COMPANY
LEI 6PTKHDJ8HDUF78PFWH30

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

NORTHERN TRUST SECURITIES, INC.
CRD 7927 · SEC 8-23689

Filing source

Form ADV 1494000 · Mar 17, 2021 · Schedule D 7.B.(1), fund 805-5602886132

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
Lance Breiland Executive
N/A Dgv Solutions Lp Promoter
Jonathan Havice Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
601 Carlson Parkway Suite 875
Minnetonka, MN, 55305