Form D · Other Investment Fund
Guggenheim Core Plus Fund, LLC
Santa Monica, CA · CIK 0001665187
Offering snapshot reported Jan 10, 2023 · SEC filing
- Reported sold
- $96.4M Indefinite offering
- Investors reported
- 5 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Mar 7, 2016 As reported in this filing
Fundraising history
Reported soldDates 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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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jan 10, 2023 | Amendment | $96,425,000 | $0vs Jan 11, 2022 | 5 | SEC filing |
| Jan 11, 2022 | Amendment | $96,425,000 | $1,225,000vs Jan 12, 2021 | 5 | SEC filing |
| Jan 12, 2021 | Amendment | $95,200,000 | $0vs Mar 17, 2020 | 5 | SEC filing |
| Mar 17, 2020 | Amendment | $95,200,000 | $0vs Mar 18, 2019 | 5 | SEC filing |
| Mar 18, 2019 | Amendment | $95,200,000 | $11,700,000vs Mar 15, 2018 | 5 | SEC filing |
| Mar 15, 2018 | Amendment | $83,500,000 | $21,500,000vs Mar 15, 2017 | 5 | SEC filing |
| Mar 15, 2017 | Amendment | $62,000,000 | $29,000,000vs Mar 17, 2016 | 4 | SEC filing |
| Mar 17, 2016 | Initial | $33,000,000 | No comparison | 2 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $126K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-259431
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Guggenheim Funds Distributors, LLC | 39805 | Guggenheim Funds Distributors, LLC · CRD 39805 |
Source: Form D, filed Jan 10, 2023. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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.
| Name | Reported role |
|---|---|
| Adam Bloch | Executive |
| Steven Brown | Executive |
| James Michal | Executive |
| B. Scott Minerd | Executive |
| Anne Walsh | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Santa Monica, CA, 90401