Form D · Other Investment Fund

Guggenheim Core Plus Fund, Ltd.

Santa Monica, CA · CIK 0001665174

Offering snapshot reported Mar 17, 2023 · SEC filing

Reported sold
$62M
Indefinite offering
Investors reported
2
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Apr 1, 2016
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$31M$62MApr 14, 2016: $13,000,000.00Apr 14, 2016Mar 15, 2017: $39,000,000.00Sep 8, 2017: $39,000,000.00Mar 15, 2018: $39,000,000.00Mar 18, 2019: $49,500,000.00Mar 17, 2020: $55,500,000.00Jan 12, 2021: $55,500,000.00Jan 11, 2022: $62,000,000.00Mar 18, 2022: $62,000,000.00Mar 17, 2023: $62,000,000.00Mar 17, 2023

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 →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 17, 2023Amendment$62,000,000$0vs Mar 18, 20222SEC filing
Mar 18, 2022Amendment$62,000,000$0vs Jan 11, 20222SEC filing
Jan 11, 2022Amendment$62,000,000$6,500,000vs Jan 12, 20212SEC filing
Jan 12, 2021Amendment$55,500,000$0vs Mar 17, 20202SEC filing
Mar 17, 2020Amendment$55,500,000$6,000,000vs Mar 18, 20192SEC filing
Mar 18, 2019Amendment$49,500,000$10,500,000vs Mar 15, 20182SEC filing
Mar 15, 2018Amendment$39,000,000$0vs Sep 8, 20172SEC filing
Sep 8, 2017Amendment$39,000,000$0vs Mar 15, 20172SEC filing
Mar 15, 2017Amendment$39,000,000$26,000,000vs Apr 14, 20162SEC filing
Apr 14, 2016Initial$13,000,000No comparison1SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$69.9K (estimated)
Finders' fees
$0
Form D file number
021-261297

Sales compensation recipients

Scroll to see all columns →

RecipientCRDAssociated broker-dealer
Guggenheim Funds Distributors, LLC39805Guggenheim Funds Distributors, LLC · CRD 39805

Source: Form D, filed Mar 17, 2023. 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 CORE PLUS FUND LTD

Investment adviser: GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

Gross asset value
Not reported
Beneficial owners
Not reported
ADV minimum commitment
Not reported

Reported in Form ADV on Dec 3, 2024. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

No provider names available in this fund's imported disclosure.

Provider details
Annual audit
Not reported
Prime brokers
Not reported
Custodians
Not reported
Administrator other than the adviser
Not reported
External marketing
Not reported
Filing source

Form ADV 1913728 · Dec 3, 2024 · Schedule D 7.B.(1), fund 805-1371848976

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
Adam Bloch Executive
Steven Brown Executive
Sherri Fleming Director
Christopher J. Le Beau Director
James Michal Executive
B. Scott Minerd Executive
William Shaw Director
Kevin Solomon Director
Anne Walsh Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
100 Wilshire Boulevard, Suite 500
Santa Monica, CA, 90401