Form D · Hedge Fund

Guggenheim Investment Advisors Global Macro & Trading Fund, LLC

New York, NY · CIK 0001586819

Offering snapshot reported Sep 22, 2016 · SEC filing

Reported sold
$8.95M
Indefinite offering
Investors reported
16
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Sep 1, 2013
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$4.48M$8.95MSep 16, 2013: $5,600,000.00Sep 16, 2013Sep 16, 2014: $8,100,000.00Sep 16, 2014Sep 16, 2015: $8,950,000.00Sep 16, 2015Sep 22, 2016: $8,950,000.00Sep 22, 2016

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
Sep 22, 2016Amendment$8,950,000$0vs Sep 16, 201516SEC filing
Sep 16, 2015Amendment$8,950,000$850,000vs Sep 16, 201416SEC filing
Sep 16, 2014Amendment$8,100,000$2,500,000vs Sep 16, 201312SEC filing
Sep 16, 2013Initial$5,600,000No comparison11SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-202923

Sales compensation recipients

Scroll to see all columns →

RecipientCRDAssociated broker-dealer
Guggenheim Investor Services, LLC30096

Source: Form D, filed Sep 22, 2016. 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 INVESTMENT ADVISORS GLOBAL MACRO AND TRADING FUND, LLC

Investment adviser: GUGGENHEIM INVESTMENT ADVISORS, LLC

Gross asset value
$198K
Beneficial owners
17
ADV minimum commitment
$100K

Reported in Form ADV on Mar 30, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor KPMG NEW YORK, New York, United States
Custodian BMO HARRIS BANK NA CHICAGO, Illinois, United States Related to adviser: No
Marketer GUGGENHEIM INVESTOR SERVICES, LLC NEW YORK, New York, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
Yes

GUGGENHEIM INVESTOR SERVICES, LLC
CRD 30096 · SEC 8-44742

Filing source

Form ADV 973509 · Mar 30, 2016 · Schedule D 7.B.(1), fund 805-8959944068

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
Mike Christ Executive
Dina Di Lorenzo Executive
N/A Guggenheim Investment Advisors, Llc Promoter
Erin King Executive
Kevin Robinson Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
330 Madison Avenue
New York, NY, 10017