Form D · Hedge Fund

DIVERSE PARTNERS ETF VOLATILITY, LP

New York, NY · CIK 0001641697

Offering snapshot reported Dec 6, 2018 · SEC filing

Reported sold: $74.7M
Investors reported: 37
Minimum accepted: $0
First sale: May 1, 2015

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$74,630,000 → $74,695,264
Reported investors34 → 37

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Dec 6, 2018	Amendment	$74,695,264	$65,264vs Feb 7, 2018	37	SEC filing
Feb 7, 2018	Amendment	$74,630,000	$2,940,517vs Feb 7, 2017	34	SEC filing
Feb 7, 2017	Amendment	$71,689,483	$448,808vs May 13, 2016	35	SEC filing
May 13, 2016	Amendment	$71,240,675	$45,540,675vs May 13, 2015	35	SEC filing
May 13, 2015	Initial	$25,700,000	No comparison	9	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-239800

The recipients listed in Item 12 are paid an amount equal to a percentage of the management fee paid to the Investment Manager (or its affiliate) attributable to certain assets under management and/or the incentive allocation.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
ALAN D. GLATT	1587515	CANDLEWOOD SECURITIES, LLC · CRD 126042
DAVID W. RHUDY	1320286	CANDLEWOOD SECURITIES, LLC · CRD 126042
MELISSA D. GREENBERG	5587251	CANDLEWOOD SECURITIES, LLC · CRD 126042

Source: Form D, filed Dec 6, 2018. 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

DIVERSE PARTNERS ETF VOLATILITY, LP

Investment adviser: DIVERSE CAPITAL MANAGEMENT, LLC

Gross asset value: $20.9M
Beneficial owners: 10
ADV minimum commitment: $1M

Reported in Form ADV on May 23, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CACEIS CANADA MISSISSAUGA, Canada Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor RSM US LLP NEW YORK, New York, United States

Custodian FIRST REPUBLIC BANK NEW YORK, New York, United States Related to adviser: No

Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No

Custodian SOCIETE GENERALE NEW YORK, New York, United States Related to adviser: No

Marketer PROTOCOL CAPITAL MANAGEMENT NEW YORK, New York, United States Related to adviser: No

Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States

Prime broker SOCIETE GENERALE NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

INTERACTIVE BROKERS LLC
SEC 8-47257

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

Filing source

Form ADV 1117447 · May 23, 2017 · Schedule D 7.B.(1), fund 805-9784923924

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
Michael Castaldy	Executive
Diverse Capital Management, Llc	Executive, Promoter
Diverse Capital Partners, Llc	Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

1115 Broadway 12 Th Floor
New York, NY, 10010