Form D · Hedge Fund

DUNHAM HOLDINGS LP

Chaska, MN · CIK 0001276232

Offering snapshot reported Mar 20, 2014 · SEC filing

Reported sold: $14M
Investors reported: 38
Minimum accepted: $250K
First sale: Oct 1, 2003

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$12,336,642 → $14,007,271
Reported investors37 → 38

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 20, 2014	Amendment	$14,007,271	$1,670,629vs Oct 25, 2012	38	SEC filing
Oct 25, 2012	Amendment	$12,336,642	$2,402,642vs Oct 14, 2011	37	SEC filing
Oct 14, 2011	Amendment	$9,934,000	$0vs Oct 11, 2011	37	SEC filing
Oct 11, 2011	Initial	$9,934,000	No comparison	37	SEC filing

Offering details

Securities: 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: 021-167021

Source: Form D, filed Mar 20, 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

DUNHAM HOLDINGS LP

Investment adviser: DUNHAM PARTNERS LLC

Gross asset value: $25.9M
Beneficial owners: 40
ADV minimum commitment: $250K

Reported in Form ADV on Mar 10, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NAV CONSULTING, INC. OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ASSURANCE DIMENSIONS TAMPA, Florida, United States

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

Custodian RBC CAPITAL MARKETS, LLC LANSING, Michigan, United States Related to adviser: No

Custodian TRADESTATION SECURITIES, INC. PLANTATION, Florida, United States Related to adviser: No

Custodian US BANK CHANHASSEN, Minnesota, United States Related to adviser: No

Custodian VANGUARD MARKETING CORPORATION MALVERN, Pennsylvania, United States Related to adviser: No

Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States

Prime broker RBC CAPITAL MARKETS, LLC LANSING, Michigan, United States

Prime broker TRADESTATION SECURITIES, INC. PLANTATION, Florida, United States

Prime broker US BANK CHANHASSEN, Minnesota, United States

Prime broker VANGUARD MARKETING CORPORATION MALVERN, Pennsylvania, United States

Provider details

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

ASSURANCE DIMENSIONS
PCAOB 5036

INTERACTIVE BROKERS LLC
SEC 8-47257

RBC CAPITAL MARKETS, LLC
SEC 8-45411

TRADESTATION SECURITIES, INC.
SEC 8-48711

VANGUARD MARKETING CORPORATION
SEC 8-21570

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

RBC CAPITAL MARKETS, LLC
CRD 31194 · SEC 8-45411

TRADESTATION SECURITIES, INC.
CRD 39473 · SEC 8-48711

VANGUARD MARKETING CORPORATION
CRD 7452 · SEC 8-21570

Filing source

Form ADV 2069723 · Mar 10, 2026 · Schedule D 7.B.(1), fund 805-3458060968

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 Dunham Partners Llc	Promoter
Brad J Kroese	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

123 W. 3 Rd St. Suite 5
Chaska, MN, 55318