Form D · Hedge Fund

Guggenheim Alpha Solutions Fund, LLC

Chicago, IL · CIK 0001581202

Offering snapshot reported Jul 15, 2013 · SEC filing

Reported sold: $1.5M
Investors reported: 1
Minimum accepted: $10M
First sale: Jul 1, 2013

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jul 15, 2013	Initial	$1,500,000	No comparison	1	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: 021-199631

Minimum investment amount may be waived

Source: Form D, filed Jul 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

GUGGENHEIM ALPHA SOLUTIONS FUND, LLC

Investment adviser: GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

Gross asset value: $1
Beneficial owners: 1
ADV minimum commitment: $10M

Reported in Form ADV on Jun 2, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SEI GLOBAL SERVICES, INC. OAKS, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG NEW YORK, New York, United States

Custodian U.S. BANK N.A. MILWAUKEE, Wisconsin, United States Related to adviser: No

Marketer GUGGENHEIM FUNDS DISTRIBUTORS, LLC CHICAGO, Illinois, 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

GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CRD 39805 · SEC 801-54810

Filing source

Form ADV 1019199 · Jun 2, 2016 · Schedule D 7.B.(1), fund 805-9401405103

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
N/A Gpim Holdings V, Llc	Executive
N/A Guggenheim Partners Investment Management, Llc	Executive
Scott Minerd	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

227 West Monroe Street Suite 4900
Chicago, IL, 60606