Form D · Private Equity Fund

One Tower Giffen, LLC

West Conshohocken, PA · CIK 0001797540

Offering snapshot reported Apr 23, 2021 · SEC filing

Reported sold
$6.7M
Offering amount: $6.7M
Investors reported
30
Form D · investor count
Minimum accepted
$5K
Reported outside-investor minimum
First sale
Nov 26, 2019
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$3.37M$6.73MJan 6, 2020: $6,732,000.00Jan 6, 2020Apr 23, 2021: $6,702,500.00Apr 23, 2021

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$6,732,000 → $6,702,500
  • Reported investors32 → 30

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 23, 2021Amendment$6,702,500-$29,500vs Jan 6, 202030SEC filing
Jan 6, 2020Initial$6,732,000No comparison32SEC filing

Offering details

Securities
Equity
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-357276

Source: Form D, filed Apr 23, 2021. 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

ONE TOWER GIFFEN, LLC

Investment adviser: SAGE ADVISORS, LLC

Gross asset value
$4.82M
Beneficial owners
29
ADV minimum commitment
$250K

Reported in Form ADV on Jul 13, 2023. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator APEX GROUP LTD. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KREISCHER MILLER HORSHAM, Pennsylvania, United States
Custodian FVC BANK FAIRFAX, Virginia, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

KREISCHER MILLER
PCAOB 1110

Filing source

Form ADV 1757516 · Jul 13, 2023 · Schedule D 7.B.(1), fund 805-7730683305

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
NameReported role
Kimberly M. Crowley Executive
Mimi Drake Director, Executive
Adam Landau Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
100 Front Street Suite 940
West Conshohocken, PA, 19428