Form D · Hedge Fund

Guggenheim Investment Advisors Developing & Emerging Markets Fund, LLC

New York, NY · CIK 0001532648

Offering snapshot reported Aug 22, 2013 · SEC filing

Reported sold
$17.2M
Indefinite offering
Investors reported
3
Form D · investor count
Minimum accepted
$500K
Reported outside-investor minimum
First sale
Aug 1, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$8.58M$17.2MOct 14, 2011Nov 7, 2012: $5,166,667.00Nov 7, 2012Aug 22, 2013: $17,166,667.00Aug 22, 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.

  • Reported sold$5,166,667 → $17,166,667
  • Reported investors2 → 3

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Aug 22, 2013Amendment$17,166,667$12,000,000vs Nov 7, 20123SEC filing
Nov 7, 2012Amendment$5,166,667No comparison2SEC filing
Oct 14, 2011InitialYet to sellNo comparison0SEC 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
021-167333

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Guggenheim Investor Services, LLC30096

Source: Form D, filed Aug 22, 2013. 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.

People and organizations reported in Form D filings
NameReported role
Mike Christ Executive
Dina Di Lorenzo Executive
N/A Guggenheim Advisors, Llc Promoter
N/A Guggenheim Alternative Asset Management, Llc Executive
N/A Guggenheim Investment Advisors, Llc Promoter
Phipps Moriarty Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Guggenheim Investment Advisors, Llc 330 Madison Avenue, 11th Floor
New York, NY, 10017