Form D · Hedge Fund

North Rock Fund, Ltd

George Town, Grand Cayman, E9 · CIK 0001631067

Offering snapshot reported May 27, 2026 · SEC filing

Reported sold: $3.5B
Investors reported: 765
Minimum accepted: $100K
First sale: Jun 14, 2017

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 sold$2,239,519,581 → $3,504,264,121
Reported investors479 → 765

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
May 27, 2026	Amendment	$3,504,264,121	$1,264,744,540vs Jun 4, 2025	765	SEC filing
Jun 4, 2025	Amendment	$2,239,519,581	$0vs Feb 14, 2025	479	SEC filing
Feb 14, 2025	Amendment	$2,239,519,581	$1,718,781,795vs Feb 14, 2024	479	SEC filing
Feb 14, 2024	Amendment	$520,737,786	$278,336,166vs May 3, 2023	779	SEC filing
May 3, 2023	Amendment	$242,401,620	$0vs Feb 14, 2023	563	SEC filing
Feb 14, 2023	Amendment	$242,401,620	$90,178,062vs Feb 15, 2022	563	SEC filing
Feb 15, 2022	Amendment	$152,223,558	$87,431,130vs Feb 12, 2021	108	SEC filing
Feb 12, 2021	Amendment	$64,792,428	$45,043,119vs Feb 14, 2020	26	SEC filing
Feb 14, 2020	Amendment	$19,749,309	$19,392,188vs Feb 15, 2019	17	SEC filing
Feb 15, 2019	Amendment	$357,121	$10,408vs Feb 15, 2018	2	SEC filing
Feb 15, 2018	Amendment	$346,713	No comparison	2	SEC filing
Jan 21, 2015	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $866K (estimated)
Finders' fees: $0
Form D file number: 021-232569

Sales commissions reflect estimated fees paid in calendar year 2025 and thereafter.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
CAIS Capital LLC	154512
Wells Fargo Clearing Services, LLC	11025
Bradesco Investments Inc.	19453
JP Morgan Securities LLC	79
Raymond James and Associates, Inc.	705
Raymond James Financial Services, Inc.	6694
Bank Julius Baer and Co Ltd	None
Saudi Fransi Capital	None
AAN Advisor HK Limited	None
Ashton Thomas Securities, LLC	16629

Source: Form D, filed May 27, 2026. 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

NORTH ROCK FUND LTD

Investment adviser: LIGHTHOUSE INVESTMENT PARTNERS, LLC

Gross asset value: $3.08B
Beneficial owners: 520
ADV minimum commitment: $1M

Reported in Form ADV on Sep 28, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C FUND SERVICES (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS GEORGE TOWN, Cayman Islands

Custodian THE BANK OF NEW YORK MELLON CORP. NEW YORK, New York, United States Related to adviser: No

Marketer AAN ADVISOR HK LIMITED WANCHAI, Hong Kong Related to adviser: No

Marketer ASHTON THOMAS SECURITIES, LLC ROCHESTER, New York, United States Related to adviser: No

Marketer BANK JULIUS BAER & CO. LTD. ZURICH, Switzerland Related to adviser: No

Marketer BRADESCO INVESTMENTS INC. CORAL GABLES, Florida, United States Related to adviser: No

Marketer CAIS CAPITAL LLC NEW YORK, New York, United States Related to adviser: No

Marketer J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Marketer LONGREACH ALTERNATIVES LTD. SYDNEY, Australia Related to adviser: No

Marketer &PARTNERS NASHVILLE, Tennessee, United States Related to adviser: No

Marketer RAYMOND JAMES & ASSOCIATES, INC. ST PETERSBURG, Florida, United States Related to adviser: No

Marketer RAYMOND JAMES FINANCIAL SERVICES, INC. ST PETERSBURG, Florida, United States Related to adviser: No

Marketer SAUDI FRANSI CAPITAL RIYADH, Saudi Arabia Related to adviser: No

Marketer WELLS FARGO ADVISORS ST. LOUIS, Missouri, United States Related to adviser: No

Provider details

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

PRICEWATERHOUSECOOPERS
PCAOB 1266

ASHTON THOMAS SECURITIES, LLC
CRD 16629 · SEC 801-69225

BRADESCO INVESTMENTS INC.
CRD 19453 · SEC 8-37483

CAIS CAPITAL LLC
CRD 154512 · SEC 8-68646

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 801-3702

&PARTNERS
CRD 3767 · SEC 801-37145

RAYMOND JAMES & ASSOCIATES, INC.
CRD 705 · SEC 801-10418

RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD 6694 · SEC 8-17983

WELLS FARGO ADVISORS
CRD 11025 · SEC 801-57434

WELLS FARGO ADVISORS
CRD 19616 · SEC 801-37967

Filing source

Form ADV 2129487 · Sep 28, 2026 · Schedule D 7.B.(1), fund 805-1659252370

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
Matt Aureimma	Director
Benjamin C. Browning	Executive
N/A Globe Op Financial Services Llc	Promoter
N/A Hfa Holdings Limited	Promoter
N/A Lighthouse Investment Partners, Llc	Executive
N/A Lma Ireland	Promoter
Sean G. Mc Gould	Executive
Barry N/A Mc Grath	Director
N/A North Rock Capital Management, Llc	Executive
N/A N/A North Rock Fund, L.P.	Promoter
N/A North Rock Master Fund, Limited	Promoter
N/A North Rock Spc	Promoter
J. Scott Perkins	Executive
Kelly R. Perkins	Director, Executive
Georgia Prinsloo	Director
Robert P. Swan, Iii	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Walkers Corporate Limited 190 Elgin Avenue
George Town, Grand Cayman, E9, KY1-9008