Form D · Hedge Fund

Higher Moment Fund LLC

Boston, MA · CIK 0001684964

Offering snapshot reported Sep 18, 2018 · SEC filing

Reported sold
$231M
Indefinite offering
Investors reported
49
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Sep 1, 2016
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$115M$231MSep 16, 2016: $11,400,000.00Sep 16, 2016Sep 18, 2017: $221,662,849.00Sep 18, 2017Sep 18, 2018: $230,521,322.00Sep 18, 2018

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$221,662,849 → $230,521,322
  • Reported investors47 → 49

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Sep 18, 2018Amendment$230,521,322$8,858,473vs Sep 18, 201749SEC filing
Sep 18, 2017Amendment$221,662,849$210,262,849vs Sep 16, 201647SEC filing
Sep 16, 2016Initial$11,400,000No comparison7SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$311K (estimated)
Finders' fees
$0
Form D file number
021-270839

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Alternative Asset Investment Management Securities, LLC135131
Candlewood Securities, LLC126042Alan D. Glatt · CRD 1587515

Source: Form D, filed Sep 18, 2018. 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 FUND LLC

Investment adviser: HIGHER MOMENT CAPITAL LP

Gross asset value
$3.24M
Beneficial owners
45
ADV minimum commitment
$1M

Reported in Form ADV on May 17, 2019. 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 BOSTON, Massachusetts, United States
Custodian US BANK MINNEAPOLIS, Minnesota, United States Related to adviser: No
Marketer CANDLEWOOD SECURITIES, LLC CLEVELAND, Ohio, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

RSM LLP
PCAOB 49

CANDLEWOOD SECURITIES, LLC
CRD 126042 · SEC 8-65845

Filing source

Form ADV 1324029 · May 17, 2019 · Schedule D 7.B.(1), fund 805-9353738374

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
N/A Higher Moment Capital Lp Promoter
Mark Kuper Executive
Ravi Singh Executive
Sundar Subramaniam Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
One International Place, Suite 4510
Boston, MA, 02110