Form D · Hedge Fund

Higher Moment Aurora Fund, LP

Boston, MA · CIK 0001537176

Offering snapshot reported Apr 13, 2016 · SEC filing

Reported sold
$70M
Indefinite offering
Investors reported
24
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Apr 1, 2008
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$35M$70MJan 4, 2012: $39,546,821.00Jan 4, 2012Jan 4, 2013: $52,151,821.00Jan 4, 2013Oct 24, 2013: $60,876,648.00Oct 24, 2013Oct 24, 2014: $62,726,648.00Oct 24, 2014Oct 26, 2015: $67,996,874.00Apr 13, 2016: $70,018,062.00Apr 13, 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.

  • Reported sold$60,876,648 → $70,018,062
  • Reported investors22 → 24

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 13, 2016Amendment$70,018,062$9,141,414vs Oct 24, 201324SEC filing
Oct 26, 2015Amendment$67,996,874$7,120,226vs Oct 24, 201323SEC filing
Oct 24, 2014Amendment$62,726,648$1,850,000vs Oct 24, 201322SEC filing
Oct 24, 2013Amendment$60,876,648$8,724,827vs Jan 4, 201322SEC filing
Jan 4, 2013Amendment$52,151,821$12,605,000vs Jan 4, 201218SEC filing
Jan 4, 2012Initial$39,546,821No comparison11SEC filing

Offering details

Securities
Equity, 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
021-171141
No payments made to date.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC135131
BHA SELECT NETWORK, LLC168883noen
Chartwell Advisors, LLC139725

Source: Form D, filed Apr 13, 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

HIGHER MOMENT AURORA FUND, LP

Investment adviser: HIGHER MOMENT CAPITAL LLC

Gross asset value
$125M
Beneficial owners
18
ADV minimum commitment
$1M

Reported in Form ADV on Mar 29, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor RSM LLP (FORMERLY NAMED MCGLADREY LLP) BOSTON, Massachusetts, United States
Custodian GOLDMAN SACHS EXECUTION & CLEARING, L.P. NEW YORK, New York, United States Related to adviser: No
Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No
Custodian TD BANK, NA MT. LAUREL, New Jersey, United States Related to adviser: No
Custodian THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION JERSEY CITY, New Jersey, United States Related to adviser: No
Custodian VANGUARD MARKETING CORPORATION MALVERN, Pennsylvania, United States Related to adviser: No
Marketer ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC NEW YORK, New York, United States Related to adviser: No
Marketer BHA SELECT NETWORK, LLC BOSTON, Massachusetts, United States Related to adviser: No
Marketer CHARTWELL ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No
Prime broker GOLDMAN SACHS EXECUTION & CLEARING, L.P. NEW YORK, New York, United States
Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States
Prime broker VANGUARD MARKETING CORPORATION MALVERN, Pennsylvania, United States
Prime broker WELLS FARGO PRIME SERVICES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

GOLDMAN SACHS EXECUTION & CLEARING, L.P.
SEC 8-526

INTERACTIVE BROKERS LLC
SEC 8-47257

VANGUARD MARKETING CORPORATION
SEC 8-21570

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD 135131 · SEC 8-66889

BHA SELECT NETWORK, LLC
CRD 168883 · SEC 8-69341

CHARTWELL ADVISORS, LLC
CRD 139725 · SEC 8-67241

GOLDMAN SACHS EXECUTION & CLEARING, L.P.
CRD 3466 · SEC 8-526

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

VANGUARD MARKETING CORPORATION
CRD 7452 · SEC 8-21570

WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677

Filing source

Form ADV 991295 · Mar 29, 2016 · Schedule D 7.B.(1), fund 805-6573573640

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
Higher Moment Aurora Gp, Llc Higher Moment Aurora Gp, Llc Executive
Higher Moment Aurora Gp, Llc Executive
Higher Moment Capital, Llc Promoter
Ravi Singh Executive
Sundar Subramanian Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
One International Place Suite 4520
Boston, MA, 02110