Form D · Other Investment Fund

Financial Ascent L P

Raleigh, NC · CIK 0001293452

Offering snapshot reported May 4, 2016 · SEC filing

Reported sold
$89.4M
Indefinite offering
Investors reported
95
Form D · investor count
Minimum accepted
$250K
Reported outside-investor minimum
First sale
Mar 2, 2002
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$44.7M$89.4MMar 16, 2009: $25,000,000.00Mar 16, 2009May 6, 2010: $83,160,328.00May 3, 2011: $84,015,858.00May 2, 2012: $84,960,446.00May 3, 2013: $85,812,314.00May 6, 2014: $87,268,814.00May 6, 2015: $88,298,778.00May 4, 2016: $89,448,772.00May 4, 2016

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$88,298,778 → $89,448,772
  • Reported investors93 → 95

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 4, 2016Amendment$89,448,772$1,149,994vs May 6, 201595SEC filing
May 6, 2015Amendment$88,298,778$1,029,964vs May 6, 201493SEC filing
May 6, 2014Amendment$87,268,814$1,456,500vs May 3, 201394SEC filing
May 3, 2013Amendment$85,812,314$851,868vs May 2, 201294SEC filing
May 2, 2012Amendment$84,960,446$944,588vs May 3, 201191SEC filing
May 3, 2011Amendment$84,015,858$855,530vs May 6, 201091SEC filing
May 6, 2010Amendment$83,160,328$58,160,328vs Mar 16, 200987SEC filing
Mar 16, 2009Amendment$25,000,000No comparisonNot reportedSEC 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
021-66261

Source: Form D, filed May 4, 2016. 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

FINANCIAL ASCENT LIMITED PARTNERSHIP

Investment adviser: KDI CAPITAL PARTNERS, LLC

Gross asset value
$29.8M
Beneficial owners
35
ADV minimum commitment
$250K

Reported in Form ADV on Nov 30, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator FAIRVIEW INVESTMENT SERVICES RALEIGH, North Carolina, United States Investor statements: No (provided to no investors) Related to adviser: No
Auditor DIXON HUGHES GOODMAN RALEIGH, North Carolina, United States
Custodian GOLDMAN SACHS EXECUTION & CLEARING, L.P. NEW YORK, New York, United States Related to adviser: No
Prime broker BTIG, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

GOLDMAN SACHS EXECUTION & CLEARING, L.P.
SEC 8-526

BTIG, LLC
CRD 122225 · SEC 8-65473

Filing source

Form ADV 1053863 · Nov 30, 2016 · Schedule D 7.B.(1), fund 805-1531336523

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
John Michael Day Executive
Sheldon Michael Fox Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
4101 Lake Boone Trail, Suite 218
Raleigh, NC, 27607