Form D · Hedge Fund

GRT ENERGY & INCOME, L.P.

Boston, MA · CIK 0001588041

Offering snapshot reported May 2, 2017 · SEC filing

Reported sold: $31M
Investors reported: 18
Minimum accepted: $1M
First sale: Jan 1, 2014

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.

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
May 2, 2017	Amendment	$30,982,599	$0vs Jan 12, 2017	18	SEC filing
Jan 12, 2017	Amendment	$30,982,599	$500,000vs Jan 13, 2016	18	SEC filing
Jan 13, 2016	Amendment	$30,482,599	$2,937,599vs Jan 13, 2015	18	SEC filing
Jan 13, 2015	Amendment	$27,545,000	$21,825,000vs Jan 10, 2014	16	SEC filing
Jan 10, 2014	Initial	$5,720,000	No comparison	5	SEC filing

Offering details

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

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-209719

Sales compensation recipients

Scroll to see all columns →

Recipient	CRD	Associated broker-dealer
N/A	None	RACE ROCK CAPITAL LLC · CRD 153363

Source: Form D, filed May 2, 2017. 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

GRT ENERGY & INCOME, L.P.

Investment adviser: SHEPHERD KAPLAN KROCHUK, LLC

Gross asset value: $23.6M
Beneficial owners: 12
ADV minimum commitment: $1M

Reported in Form ADV on Sep 1, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator GENE O'NEILL & COMPANY, P.C. QUINCY, Massachusetts, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor KPMG LLP BOSTON, Massachusetts, United States

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Marketer PICKWICK CAPITAL PARTNERS, LLC WHITE PLAINS, New York, United States Related to adviser: No

Marketer RACE ROCK CAPITAL LLC BOSTON, Massachusetts, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. 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

MORGAN STANLEY & CO. LLC
SEC 8-15869

PICKWICK CAPITAL PARTNERS, LLC
CRD 130672 · SEC 8-66373

RACE ROCK CAPITAL LLC
CRD 153363 · SEC 8-68528

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Filing source

Form ADV 1138244 · Sep 1, 2017 · Schedule D 7.B.(1), fund 805-7270067739

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
Gregory B. Fraser	Executive
Grt Capital Partners, L.L.C.	Executive, Promoter
Grt Energy Gp, Llc	Executive, Promoter
Grt Energy Gp, L.L.C.	Executive, Promoter
Rudolph K. Kluiber	Executive
Timothy A. Krochuk	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

One Liberty Square 11 Floor
Boston, MA, 02109