Form D · Other Investment Fund

DWM Income Funds S.C.A. SICAV-SIF

Luxembourg, N4 · CIK 0001486715

Offering snapshot reported Mar 12, 2013 · SEC filing

Reported sold: $36.2M
Investors reported: 42
Minimum accepted: $500K
First sale: Dec 31, 2009

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$36,149,803 → $36,197,140

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 12, 2013	Amendment	$36,197,140	$47,337vs Mar 13, 2012	42	SEC filing
Mar 13, 2012	Amendment	$36,149,803	$2,431,220vs Mar 15, 2011	42	SEC filing
Mar 15, 2011	Amendment	$33,718,583	$25,983,761vs Mar 15, 2010	40	SEC filing
Mar 15, 2010	Initial	$7,734,822	No comparison	36	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $325K (estimated)
Form D file number: 021-139601

From March 12, 2012 through the date hereof there have been $47,336.62 in additional follow-on investments, bringing total amount sold over the life of the fund to $36,197,140.

DWM Finance, LLC will receive a Euro 250,000 placement fee (or approximately $325,145 based on the Euro/Dollar exchange rate on March 12, 2013) for the offering if and when the total sale amount of the offering reaches or exceeds Euro 30,000,000.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
DWM Finance, LLC	137513

Source: Form D, filed Mar 12, 2013. 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

THE DWM MICROFINANCE FUND, A SUB-FUND OF DWM INCOME FUNDS S.C.A. - SICAV SIF

Investment adviser: DWM ASSET MANAGEMENT, LLC

Gross asset value: $289K
Beneficial owners: 19
ADV minimum commitment: $500K

Reported in Form ADV on Mar 30, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator DEUTSCHE BANK LUXEMBOURG S.A. LUXEMBOURG, Luxembourg Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON DUBLIN, Ireland

Custodian DEUTSCHE BANK LUXEMBOURG S.A. LUXEMBOURG, Luxembourg Related to adviser: No

Marketer DWM FINANCE LLC STAMFORD, Connecticut, United States Related to adviser: Yes

Provider details

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

DWM FINANCE LLC
CRD 137513 · SEC 8-67091

Filing source

Form ADV 1093360 · Mar 30, 2017 · Schedule D 7.B.(1), fund 805-3121651100

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
Jean Robert Bartolini	Executive
Serge D'orazio	Executive
N.A. Dwm Funds S.A.R.L.	Executive
Peter Johnson	Executive
Judy Kirst Kolkman	Executive
Catherine Koch	Executive
Alain Renard	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

2, Boulevard Konrad Adenauer
Luxembourg, N4, L-1115