Form D · Hedge Fund
New Heights Fund, L.P.
New York, NY · CIK 0001463857
Offering snapshot reported Apr 10, 2017 · SEC filing
- Reported sold
- $123M Indefinite offering
- Investors reported
- 136 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- Sep 1, 1999 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$117,270,171 → $123,375,719
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Apr 10, 2017 | Amendment | $123,375,719 | $6,105,548vs Apr 8, 2016 | 136 | SEC filing |
| Apr 8, 2016 | Amendment | $117,270,171 | $2,116,845vs Apr 8, 2015 | 136 | SEC filing |
| Apr 8, 2015 | Amendment | $115,153,326 | $2,485,670vs Jun 16, 2014 | 133 | SEC filing |
| Jun 16, 2014 | Amendment | $112,667,656 | $7,143,174vs Jun 14, 2013 | 133 | SEC filing |
| Jun 14, 2013 | Amendment | $105,524,482 | $3,758,181vs Jun 15, 2012 | 147 | SEC filing |
| Jun 15, 2012 | Amendment | $101,766,301 | $8,417,450vs Jun 15, 2011 | 130 | SEC filing |
| Jun 15, 2011 | Amendment | $93,348,851 | $643,417vs Jun 2, 2010 | 128 | SEC filing |
| Jun 2, 2010 | Amendment | $92,705,434 | $5,372,419vs Jun 1, 2009 | 126 | SEC filing |
| Jun 1, 2009 | Initial | $87,333,015 | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $218K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-131619
Adviser pays a portion of its advisory fees, which may vary from time to time, to the selling agents.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| M.D. Sass Securities, L.L.C. | 139760 |
Source: Form D, filed Apr 10, 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
NEW HEIGHTS FUND, L.P.
Investment adviser: M.D. SASS, LLC
- Gross asset value
- $125M
- Beneficial owners
- 28
- ADV minimum commitment
- $1M
Reported in Form ADV on Mar 29, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
KPMG LLP
PCAOB 185
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
SEC 8-526
WELLS FARGO PRIME SERVICES, LLC
SEC 8-66677
M.D. SASS SECURITIES, L.L.C.
CRD 139760 · SEC 8-67246
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
CRD 3466 · SEC 8-526
WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677
Filing source
Form ADV 1282485 · Mar 29, 2019 · Schedule D 7.B.(1), fund 805-2911564961
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 |
|---|---|
| Craig C. Barney, Jr. | Executive |
| Matt Di Croce | Executive |
| Robert Hansen Iii | Executive |
| Hugh R. Lamle | Executive |
| Robert S Littell | Executive |
| Bobby Liu | Executive |
| N/A M.D. Sass Investors Services, Inc. | Executive |
| John Quartarolo | Executive |
| Jason Rapp | Executive |
| Ari D. Sass | Executive |
| Martin D. Sass | Executive |
| Philip M. Sivin | Executive |
| Joseph Stein | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:New York, NY, 10036