Form D · Hedge Fund

K2 INVESTMENT PARTNERS II LLC

Stamford, CT · CIK 0001131392

Offering snapshot reported Sep 12, 2017 · SEC filing

Reported sold
$60.2M
Indefinite offering
Investors reported
43
Form D · investor count
Minimum accepted
$250K
Reported outside-investor minimum
First sale
Jan 1, 2000
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$56.4M$113MApr 12, 2010: $112,759,620.00Apr 12, 2010Apr 13, 2011: $108,001,646.00Apr 13, 2012: $64,005,646.00Apr 15, 2013: $62,055,646.00Sep 20, 2013: $61,288,475.00Sep 19, 2014: $67,320,215.00Sep 21, 2015: $69,082,154.00Sep 22, 2016: $65,287,970.00Sep 12, 2017: $60,236,755.00Sep 12, 2017

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$65,287,970 → $60,236,755
  • Reported investors52 → 43

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Sep 12, 2017Amendment$60,236,755-$5,051,215vs Sep 22, 201643SEC filing
Sep 22, 2016Amendment$65,287,970-$42,713,676vs Apr 13, 201152SEC filing
Sep 21, 2015Amendment$69,082,154-$38,919,492vs Apr 13, 201157SEC filing
Sep 19, 2014Amendment$67,320,215-$40,681,431vs Apr 13, 201153SEC filing
Sep 20, 2013Amendment$61,288,475-$46,713,171vs Apr 13, 201146SEC filing
Apr 15, 2013Amendment$62,055,646-$45,946,000vs Apr 13, 201147SEC filing
Apr 13, 2012Amendment$64,005,646-$43,996,000vs Apr 13, 201148SEC filing
Apr 13, 2011Amendment$108,001,646-$4,757,974vs Apr 12, 201058SEC filing
Apr 12, 2010Amendment$112,759,620No comparison72SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$3.38M (estimated)
Finders' fees
$0
Form D file number
021-53088
Minimum investment above may be waived by the Member Manager

Sales compensation recipients

Scroll to see all columns →

RecipientCRDAssociated broker-dealer
Regions Investment Management, Inc.111715
Highland Information SystemsNone
Citigroup Global Markets Inc.7059
D.A. Davidson & Co.199
Deutsche Bank Securities Inc.2525
Thomas Weisel Partners LLC46237
GS Capital Management LLCNone
Merrill Lynch Pierce Fenner & Smith Incorporated7691
Stifel, Nicolaus & Company, Incorporated793
Frontier Solutions LLC136102

Source: Form D, filed Sep 12, 2017. 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 INVESTMENT PARTNERS II, L.L.C.

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

Gross asset value
$1.79M
Beneficial owners
37
ADV minimum commitment
$250K

Reported in Form ADV on Nov 26, 2019. 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
Marketer CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No
Marketer D.A. DAVIDSON & CO. SEATTLE, Washington, United States Related to adviser: No
Marketer DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Marketer DEUTSCHE BANK TRUST COMPANY AMERICAS NEW YORK, New York, United States Related to adviser: No
Marketer FRANKLIN TEMPLETON FINANCIAL SERVICES CORP. SAN MATEO, California, United States Related to adviser: Yes
Marketer HIGHLAND INFORMATION SERVICES, INC. BIRMINGHAM, Alabama, United States Related to adviser: No
Marketer MERRILL LYNCH INTERNATIONAL & CO. C.V. CURACAO, Netherlands Antilles Related to adviser: No
Marketer MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Marketer MORGAN STANLEY NEW YORK, New York, United States Related to adviser: No
Marketer PURSHE KAPLAN STERLING INVESTMENTS ALBANY, New York, 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

ERNST & YOUNG
PCAOB 42

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 801-3387

D.A. DAVIDSON & CO.
CRD 199 · SEC 801-45761

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 801-9638

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
CRD 13594 · SEC 8-29504

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD 7691 · SEC 801-14235

MORGAN STANLEY
CRD 149777 · SEC 801-70103

PURSHE KAPLAN STERLING INVESTMENTS
CRD 35747 · SEC 8-46844

Filing source

Form ADV 1357223 · Nov 26, 2019 · Schedule D 7.B.(1), fund 805-6776965532

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
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