Form D · Hedge Fund

Lighthouse Credit Compass Series (A Series of Lighthouse Strategies Fund, LLC)

Palm Beach Gardens, FL · CIK 0001503314

Offering snapshot reported Feb 15, 2017 · SEC filing

Reported sold
$313K
Indefinite offering
Investors reported
2
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Jan 1, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$2.54M$5.08MOct 21, 2010: $101,000.00Oct 21, 2010Mar 8, 2011: $4,072,215.00Jun 23, 2011: $4,072,215.00Feb 17, 2012: $3,746,516.00Feb 25, 2013: $4,603,752.00Mar 7, 2013: $4,603,752.00Feb 21, 2014: $5,078,863.00Aug 7, 2014: $5,078,863.00Feb 19, 2015: $1,673,764.00Feb 18, 2016: $844,127.00Feb 15, 2017: $313,234.00Feb 15, 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$844,127 → $313,234
  • Reported investors4 → 2

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 15, 2017Amendment$313,234-$530,893vs Feb 18, 20162SEC filing
Feb 18, 2016Amendment$844,127-$829,637vs Feb 19, 20154SEC filing
Feb 19, 2015Amendment$1,673,764-$3,405,099vs Aug 7, 20145SEC filing
Aug 7, 2014Amendment$5,078,863$0vs Feb 21, 201410SEC filing
Feb 21, 2014Amendment$5,078,863$475,111vs Mar 7, 201310SEC filing
Mar 7, 2013Amendment$4,603,752$0vs Feb 25, 201311SEC filing
Feb 25, 2013Amendment$4,603,752$857,236vs Feb 17, 201211SEC filing
Feb 17, 2012Amendment$3,746,516-$325,699vs Jun 23, 20117SEC filing
Jun 23, 2011Amendment$4,072,215$0vs Mar 8, 20115SEC filing
Mar 8, 2011Amendment$4,072,215$3,971,215vs Oct 21, 20105SEC filing
Oct 21, 2010Initial$101,000No comparison3SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-149393
Total represents estimated net capital invested as of 2/1.
Placement agents may receive commissions based on amount invested in fund by their clients. In addition, the fund's manager may pay a portion of its management fees to certain agents.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Atlantic Trust CompanyNone
SunTrust Banks, Inc.None

Source: Form D, filed Feb 15, 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

LIGHTHOUSE CREDIT COMPASS SERIES, A SERIES OF LIGHTHOUSE STRATEGIES FUND, LLC

Investment adviser: LIGHTHOUSE INVESTMENT PARTNERS, LLC

Gross asset value
$62.2M
Beneficial owners
5
ADV minimum commitment
$1M

Reported in Form ADV on Aug 28, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator GLOBEOP FINANCIAL SERVICES, LLC NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP TAMPA, Florida, United States
Custodian THE BANK OF NEW YORK MELLON CORP. NEW YORK, New York, United States Related to adviser: No
Marketer AT INVESTMENT ADVISERS, INC. BOSTON, Massachusetts, United States Related to adviser: No
Marketer SUNTRUST BANKS, INC. ATLANTA, Georgia, 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

AT INVESTMENT ADVISERS, INC.
CRD 109644 · SEC 801-57986

Filing source

Form ADV 1132928 · Aug 28, 2017 · Schedule D 7.B.(1), fund 805-4196946239

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
Kenneth Des Plaines Executive
N/A Globe Op Financial Services Llc Promoter
N/A Hfa Holdings Limited Promoter
Kevin R. Lakin Executive
N/A Lighthouse Credit Compass Master Segregated Portfolio Of Lighthouse Strategies Master Fund Spc Promoter
N/A Lighthouse Credit Compass Segregated Portfolio Of Lighthouse Strategies Fund Spc Promoter
N/A Lighthouse Investment Partners Llc Promoter
N/A Lighthouse Strategies Fund Spc Promoter
N/A Lma Ireland Promoter
N/A Lma Spc Promoter
Sean G. Mc Gould Executive
Kelly R. Perkins Executive
J. Scott Perkins Executive
Robert P. Swan, Iii Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
3801 Pga Blvd. Suite 500
Palm Beach Gardens, FL, 33410