Form D · Hedge Fund
MOUNT YALE GUARDIAN FUND, a Series of Mount Yale Master Portfolios, L.P.
Minneapolis, MN · CIK 0001351301
Offering snapshot reported Jul 24, 2013 · SEC filing
- Reported sold
- $113M Indefinite offering
- Investors reported
- 226 Form D · investor count
- Minimum accepted
- $2M Reported outside-investor minimum
- First sale
- Nov 15, 2005 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.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jul 24, 2013 | Amendment | $112,838,527 | $0vs Aug 1, 2012 | 226 | SEC filing |
| Aug 1, 2012 | Amendment | $112,838,527 | $8,723,582vs Aug 8, 2011 | 226 | SEC filing |
| Aug 8, 2011 | Initial | $104,114,945 | No comparison | 226 | SEC filing |
| Aug 6, 2010 | Amendment | $95,333,114 | $7,343,281vs Aug 2, 2010 | 194 | SEC filing |
| Aug 2, 2010 | Amendment | $87,989,833 | $678,807vs Jul 31, 2009 | 204 | SEC filing |
| Jul 31, 2009 | Amendment | $87,311,026 | $2,643,281vs Apr 27, 2009 | 165 | SEC filing |
| Apr 27, 2009 | Amendment | $84,667,745 | No comparison | Not reported | SEC filing |
| Jan 20, 2006 | Paper | Not reported | No comparison | Not reported | 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
- Finders' fees
- $0
- Form D file number
- 021-164063
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| RBC Dain Rausher | 31194 | |
| Ameritas Investment Corp. | 14869 | |
| Linsco/Private Ledger Corp. | 6413 | |
| NFP Securities Inc. | 42046 | |
| AIG Financial Advisors | 133763 | |
| Lincoln Financial Advisors Corp. | 3978 | |
| Cenkos Channel Islands Limited | None | |
| Fitzgibbon Toigo & Co. | 122142 | |
| SagePoint Financial | 133763 | |
| SII Investments | 2225 | |
| Geneos Wealth Management, Inc. | 120894 | |
| FSC Securities Corp. | 7461 |
Source: Form D, filed Jul 24, 2013. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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 |
|---|---|
| Greg D. Anderson | Executive |
| Roger C. Bowden | Executive |
| N/A Mount Yale Asset Management, Llc | Promoter |
| N/A Mount Yale Private Equity Partners, Llc | Promoter |
| John L. Sabre | Executive |
| Michael J. Sabre | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Minneapolis, MN, 55437