Form D · Private Equity Fund
Mariner CLO Opportunities Fund, L.P.
Harrison, NY · CIK 0001671313
Offering snapshot reported Jun 21, 2019 · SEC filing
- Reported sold
- Yet to sell Indefinite offering
- Investors reported
- 0 Form D · investor count
- Minimum accepted
- $10K Reported outside-investor minimum
- First sale
- Yet to occur As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jun 21, 2019 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Mar 7, 2019 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Jun 26, 2018 | Amendment | $3,575,000 | No comparison | 25 | SEC filing |
| May 17, 2018 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Apr 5, 2016 | Initial | $29,972,350 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Pooled investment fund, Other
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-342483
Series 4 limited partnership interests
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Mariner Group Capital Markets, LLC | 25878 |
Source: Form D, filed Jun 21, 2019. 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
SIGNAL PEAK CLO OPPORTUNITIES FUND, L.P.
Investment adviser: ORIX ADVISERS, LLC
- Gross asset value
- $3.28M
- Beneficial owners
- 54
- ADV minimum commitment
- $100K
Reported in Form ADV on Oct 29, 2024. 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
- No
KPMG LLP
PCAOB 185
U.S. BANK NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M0
Filing source
Form ADV 1910031 · Oct 29, 2024 · Schedule D 7.B.(1), fund 805-1024650350
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 |
|---|---|
| Charles R. Howe Ii | Executive |
| N/A Mariner Investment Group, Llc | Promoter |
| Peter O'rourke | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Harrison, NY, 10528