Form D · Hedge Fund

Guggenheim Investment Advisors Multi-Strategy Fund, LLC

New York, NY · CIK 0001535433

Offering snapshot reported Sep 16, 2016 · SEC filing

Reported sold
$67M
Indefinite offering
Investors reported
27
Form D · investor count
Minimum accepted
$500K
Reported outside-investor minimum
First sale
Nov 1, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$33.5M$67MNov 22, 2011Nov 29, 2012: $15,000,000.00Nov 29, 2012Aug 22, 2013: $31,000,000.00Aug 21, 2014: $66,110,000.00Aug 21, 2014Nov 3, 2015: $66,960,000.00Nov 3, 2015Sep 16, 2016: $66,960,000.00Sep 16, 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

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Sep 16, 2016Amendment$66,960,000$0vs Nov 3, 201527SEC filing
Nov 3, 2015Amendment$66,960,000$850,000vs Aug 21, 201427SEC filing
Aug 21, 2014Amendment$66,110,000$35,110,000vs Aug 22, 201324SEC filing
Aug 22, 2013Amendment$31,000,000$16,000,000vs Nov 29, 20123SEC filing
Nov 29, 2012Amendment$15,000,000No comparison1SEC filing
Nov 22, 2011InitialYet to sellNo comparison0SEC 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
021-169126

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Guggenheim Investor Services, LLC30096

Source: Form D, filed Sep 16, 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 MULTI-STRATEGY FUND, LLC

Investment adviser: GUGGENHEIM INVESTMENT ADVISORS, LLC

Gross asset value
$7.9M
Beneficial owners
33
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 805-5283826494

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 Advisors, Llc Promoter
N/A Guggenheim Alternative Asset Management, Llc Executive
N/A Guggenheim Investment Advisors, Llc Promoter
Erin King Executive
Phipps Moriarty Executive
Kevin Robinson Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

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