Form D · Hedge Fund

Guggenheim Investment Advisors Real Assets Fund, LLC

New York, NY · CIK 0001532654

Offering snapshot reported Aug 22, 2013 · SEC filing

Reported sold: $15M
Investors reported: 2
Minimum accepted: $500K
First sale: Sep 1, 2011

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$5,000,000 → $15,000,000
Reported investors1 → 2

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Aug 22, 2013	Amendment	$15,000,000	$10,000,000vs Nov 7, 2012	2	SEC filing
Nov 7, 2012	Amendment	$5,000,000	No comparison	1	SEC filing
Oct 14, 2011	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-167327

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Guggenheim Investor Services, LLC	30096

Source: Form D, filed Aug 22, 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

GUGGENHEIM INVESTMENT ADVISORS REAL ASSETS FUND, LLC

Investment adviser: GUGGENHEIM INVESTMENT ADVISORS, LLC

Gross asset value: $166K
Beneficial owners: 0
ADV minimum commitment: $500K

Reported in Form ADV on Oct 9, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CITI HEDGE FUND SERVICES NORTH AMERICA INC JERSEY CITY, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG NEW YORK, New York, United States

Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Marketer GUGGENHEIM INVESTOR SERVICES, LLC NEW YORK, New York, 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

J.P. MORGAN CLEARING CORP.
SEC 8-43724

GUGGENHEIM INVESTOR SERVICES, LLC
CRD 30096 · SEC 8-44742

Filing source

Form ADV 848021 · Oct 9, 2014 · Schedule D 7.B.(1), fund 805-1862522019

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
Mike Christ	Executive
Dina Di Lorenzo	Executive
N/A Guggenheim Advisors, Llc	Promoter
N/A Guggenheim Alternative Asset Management, Llc	Executive
N/A Guggenheim Investment Advisors, Llc	Promoter
Phipps Moriarty	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Guggenheim Investment Advisors, Llc 330 Madison Avenue, 11th Floor
New York, NY, 10017