Form D · Hedge Fund

GLENROCK GLOBAL PARTNERS (AI), L.P.

New York, NY · CIK 0001415981

Offering snapshot reported Mar 15, 2013 · SEC filing

Reported sold
$27.8M
Indefinite offering
Investors reported
53
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Oct 1, 2005
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$13.9M$27.8MMar 19, 2009: $10,693,958.00Mar 19, 2009Mar 16, 2010: $11,748,958.00Mar 16, 2010Mar 18, 2011: $24,057,337.00Mar 18, 2011Mar 16, 2012: $27,823,985.00Mar 16, 2012Mar 15, 2013: $27,823,985.00Mar 15, 2013

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.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 15, 2013Amendment$27,823,985$0vs Mar 16, 201253SEC filing
Mar 16, 2012Amendment$27,823,985$3,766,648vs Mar 18, 201153SEC filing
Mar 18, 2011Amendment$24,057,337$12,308,379vs Mar 16, 201050SEC filing
Mar 16, 2010Amendment$11,748,958$1,055,000vs Mar 19, 200942SEC filing
Mar 19, 2009Amendment$10,693,958No comparisonNot reportedSEC filing
Mar 16, 2009Amendment$10,693,958No comparisonNot reportedSEC filing
Oct 17, 2007PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-110139
The entities listed in Item 12 above are paid directly or indirectly commissions or similar sales compensation equal to a percentage of the fee paid to the GP, or its affiliate, from the assets under management and/or the incentive allocation.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Asset AllocationNone
N/ANoneAPB Financial Group, LLC · CRD 38235

Source: Form D, filed Mar 15, 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

GLENROCK GLOBAL PARTNERS (AI) LP

Investment adviser: GLENROCK INC.

Gross asset value
$19.6M
Beneficial owners
19
ADV minimum commitment
$1M

Reported in Form ADV on Mar 28, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE (BERMUDA) HAMILTON, Bermuda
Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No
Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Marketer APB FINANCIAL GROUP, LLC NEW YORK, New York, United States Related to adviser: No
Marketer FIRST AMERICAN MUNICIPALS, INC. NEW YORK, New York, United States Related to adviser: No
Marketer FIRST LIBERTIES FINANCIAL NEW YORK, New York, United States Related to adviser: No
Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States
Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States
Prime broker UBS SECURITIES LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

UBS SECURITIES LLC
SEC 8-22651

APB FINANCIAL GROUP, LLC
CRD 38235 · SEC 8-48144

FIRST AMERICAN MUNICIPALS, INC.
CRD 23740 · SEC 8-40696

FIRST LIBERTIES FINANCIAL
CRD 14432 · SEC 8-30673

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Filing source

Form ADV 709831 · Mar 28, 2013 · Schedule D 7.B.(1), fund 805-8017863302

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
Michael Katz Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
623 Fifth Avenue Suite 3101
New York, NY, 10022