Form D · Private Equity Fund
DWM FUNDS S.C.A.-SICAV SIF
Luxembourg, N4 · CIK 0001440884
Offering snapshot reported Dec 17, 2014 · SEC filing
- Reported sold
- $44.5M Offering amount: $150M
- Investors reported
- 7 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- Dec 5, 2013 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Dec 17, 2014 | Initial | $44,500,000 | No comparison | 7 | SEC filing |
| Dec 19, 2013 | Initial | $44,500,000 | No comparison | 7 | SEC filing |
| Jul 21, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $192K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-230264
The issuance is the first issuance on behalf of a new sub-fund of the Issuer, the DWM Inclusive Finance Equity Fund II. The total amount of interests sold includes $16,500,000 in commitments contingent on the sale of further interests in the sub-fund.
DWM Asset Management LLC will pay placement fees of $12,000 to Jeffrey Tolk and $30,000 to Rafal Kwiatkowski. The Issuer will also pay a structuring and placement fee to DWM Finance LLC of up to $150,000 based on final available capital commitments.
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| DWM Finance LLC | 137513 | |
| Jeffrey Tolk | None | |
| Rafal Kwiatkowski | None |
Source: Form D, filed Dec 17, 2014. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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.
| Name | Reported role |
|---|---|
| N/A N/A Dwm Funds S.Ar.L. | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:
2, Boulevard Konrad Adenauer
Luxembourg, N4, L-1115
Luxembourg, N4, L-1115