Form D · Hedge Fund

Monte Capital Theta Fund LLC

New York, NY · CIK 0001556454

Offering snapshot reported Sep 18, 2013 · SEC filing

Reported sold: $8.45M
Investors reported: 7
Minimum accepted: $1M
First sale: Sep 4, 2012

Fundraising history

Reported sold

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 investors3 → 7

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Sep 18, 2013	Amendment	$8,450,000	$0vs Sep 18, 2012	7	SEC filing
Sep 18, 2012	Initial	$8,450,000	No comparison	3	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $122K (estimated)
Finders' fees: $0
Form D file number: 021-184281

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Alan David Glatt	1587515	BD Alternative Asset Investment Management Securities, LLC · CRD 135131

Source: Form D, filed Sep 18, 2013. 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

MONTE CAPITAL THETA FUND

Investment adviser: MONTE CAPITAL GROUP LLC

Gross asset value: $8.2M
Beneficial owners: 7
ADV minimum commitment: $25K

Reported in Form ADV on Jun 8, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CIRCLE INVESTMENT SUPPORT SERVICES (CURAÇAO) N.V. CURAÇAO, Netherlands Antilles Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DEMETRIUS BERKOWER LLC ISELIN, New Jersey, United States

Custodian NORTHERN TRUST BANK FSB CHICAGO, Illinois, United States Related to adviser: No

Prime broker GOLDMAN SACHS EXECUTION & CLEARING, L.P. CHICAGO, Illinois, United States

Prime broker WELLS FARGO PRIME SERVICES, LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

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 1023267 · Jun 8, 2016 · Schedule D 7.B.(1), fund 805-4516040548

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
Name	Reported role
John Lloyd	Executive
. Monte Capital Group Llc	Director
Charles Remes	Director, Executive
Paul Savoie	Executive
Aron Schnell	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Monte Capital Group Llc 11 Broadway, Suite 766
New York, NY, 10004