Form D · Hedge Fund
Lighthouse Prime Series (A Series of Lighthouse Strategies Fund, LLC)
Palm Beach Gardens, FL · CIK 0001503432
Offering snapshot reported Feb 21, 2012 · SEC filing
- Reported sold
- $1.78M Indefinite offering
- Investors reported
- 7 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- Jan 1, 2010 As reported in this filing
Fundraising history
Reported soldDates 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$493,857 → $1,784,608
- Reported investors5 → 7
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Feb 21, 2012 | Amendment | $1,784,608 | $1,290,751vs Jun 23, 2011 | 7 | SEC filing |
| Jun 23, 2011 | Amendment | $493,857 | $0vs Mar 8, 2011 | 5 | SEC filing |
| Mar 8, 2011 | Amendment | $493,857 | -$416,143vs Oct 21, 2010 | 5 | SEC filing |
| Oct 21, 2010 | Initial | $910,000 | No comparison | 2 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0 (estimated)
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-149391
Total represents estimated net capital invested as of 2/12.
Placement agents may receive commissions based on amount invested in fund from their clients. In addition, the fund's manager may pay a portion of its management fees to certain finders.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| SunTrust Investment Services, Inc. | 17499 | |
| Atlantic Trust Company | None | Atlantic Trust Company |
| Sunrise Securities Corp. | 29804 |
Source: Form D, filed Feb 21, 2012. 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 PRIME SERIES, A SERIES OF LIGHTHOUSE STRATEGIES FUND, LLC
Investment adviser: LIGHTHOUSE INVESTMENT PARTNERS, LLC
- Gross asset value
- $38.6M
- Beneficial owners
- 10
- ADV minimum commitment
- $1M
Reported in Form ADV on Sep 27, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
ATLANTIC TRUST PRIVATE WEALTH MANAGEMENT
CRD 109644 · SEC 801-57986
SUNTRUST INVESTMENT SERVICES, INC.
CRD 17499 · SEC 801-56443
Filing source
Form ADV 670060 · Sep 27, 2012 · Schedule D 7.B.(1), fund 805-8526512015
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.
| Name | Reported role |
|---|---|
| Kenneth Des Plaines | Executive |
| Kevin R. Lakin | Executive |
| N/A Lighthouse Investment Partners Llc | Promoter |
| N/A Lighthouse Prime Master Segregated Portfolio Of Lighthouse Strategies Master Fund Spc | Promoter |
| N/A Lighthouse Strategies Master Fund Spc | Promoter |
| N/A Lma Spc | Promoter |
| Sean G. Mc Gould | Executive |
| J. Scott Perkins | Executive |
| Kelly R. Perkins | Executive |
| Robert P. Swan, Iii | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Palm Beach Gardens, FL, 33410