Form D · Hedge Fund

K2 Balanced Conditional Risk Overlay Fund LLC

Stamford, CT · CIK 0001415706

Offering snapshot reported Apr 19, 2013 · SEC filing

Reported sold: $12.3M
Investors reported: 4
Minimum accepted: $100K
First sale: Sep 1, 2007

Fundraising history

Reported sold

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 →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Apr 19, 2013	Amendment	$12,250,000	$0vs Apr 19, 2011	4	SEC filing
Apr 19, 2012	Amendment	$12,250,000	$0vs Apr 19, 2011	4	SEC filing
Apr 19, 2011	Amendment	$12,250,000	$0vs Apr 19, 2010	4	SEC filing
Apr 19, 2010	Amendment	$12,250,000	No comparison	4	SEC filing
Mar 13, 2009	Paper	Not reported	No comparison	Not reported	SEC filing
Oct 15, 2007	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-109946

Minimum investment above may be waived by the Manager

Source: Form D, filed Apr 19, 2013. 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

K2 BALANCED CONDITIONAL RISK OVERLAY FUND, LLC

Investment adviser: K2/D&S MANAGEMENT CO., L.L.C.

Gross asset value: $0
Beneficial owners: 0
ADV minimum commitment: $20M

Reported in Form ADV on Dec 22, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator HEDGESERV LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG STAMFORD, Connecticut, United States

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Filing source

Form ADV 855774 · Dec 22, 2014 · Schedule D 7.B.(1), fund 805-4016484941

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
Name	Reported role
Bjorn A. Davis	Executive
William A. Douglass	Executive
John T. Ferguson	Executive
John P. Hornbostel	Executive
N/A K2 Advisors, Llc	Executive
David C. Saunders	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

300 Atlantic Street 12 Th Floor
Stamford, CT, 06901