Form D · Other Investment Fund

GWM MONTGOMERY RIVER INVESTORS, LLC

San Diego, CA · CIK 0001626939

Offering snapshot reported Dec 3, 2014 · SEC filing

Reported sold
$2.23M
Offering amount: $2.23M
Investors reported
13
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Nov 24, 2014
As reported in this filing

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
Dec 3, 2014Initial$2,232,856No comparison13SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-229391

Source: Form D, filed Dec 3, 2014. 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

GWM MONTGOMERY RIVER INVESTORS LLC

Investment adviser: GUPTA WEALTH MANAGEMENT, LLC

Gross asset value
$74.1K
Beneficial owners
13
ADV minimum commitment
$0

Reported in Form ADV on Jun 4, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor ASHLAND PARTNERS & COMPANY LLP JACKSONVILLE, Oregon, United States
Custodian FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. SMITHFIELD, Rhode Island, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC.
SEC 8-35097

Filing source

Form ADV 927155 · Jun 4, 2015 · Schedule D 7.B.(1), fund 805-5506299532

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
Ajay Gupta Director, Executive
Management, Llc Gupta Wealth Director
Partners 2014, Llc Gwm Real Estate Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
12760 High Bluff Drive Suite 120
San Diego, CA, 92130