Form D · Hedge Fund

Piper Jaffray Municipal Opportunities Fund, L.P.

Minneapolis, MN · CIK 0001509348

Offering snapshot reported Mar 3, 2015 · SEC filing

Reported sold
$163M
Indefinite offering
Investors reported
42
Form D · investor count
Minimum accepted
$250K
Reported outside-investor minimum
First sale
Jan 1, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$82.1M$164MJan 5, 2011: $1,250,000.00Jan 5, 2011Aug 23, 2011: $1,250,000.00Aug 23, 2012: $54,959,903.00Mar 8, 2013: $113,655,958.00Mar 7, 2014: $149,157,726.00Mar 3, 2015: $164,295,065.00Mar 3, 2015: $162,920,105.00Mar 3, 2015

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$164,295,065 → $162,920,105

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 3, 2015Amendment$164,295,065$15,137,339vs Mar 7, 201442SEC filing
Mar 3, 2015Amendment$162,920,105-$1,374,960vs Mar 3, 201542SEC filing
Mar 7, 2014Amendment$149,157,726$35,501,768vs Mar 8, 201326SEC filing
Mar 8, 2013Amendment$113,655,958$58,696,055vs Aug 23, 201217SEC filing
Aug 23, 2012Amendment$54,959,903$53,709,903vs Aug 23, 20119SEC filing
Aug 23, 2011Amendment$1,250,000$0vs Jan 5, 20112SEC filing
Jan 5, 2011Initial$1,250,000No comparison2SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$1.16M (estimated)
Finders' fees
$20K (estimated)
Form D file number
021-153024

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Piper Jaffray & Co665Piper Jaffray & Co · CRD 665
Frontier Solutions, LLC136102Frontier Solutions, LLC · CRD 136102

Source: Form D, filed Mar 3, 2015. 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

PIPER JAFFRAY MUNICIPAL OPPORTUNITIES FUND, LP

Investment adviser: PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC

Gross asset value
$357M
Beneficial owners
34
ADV minimum commitment
$250K

Reported in Form ADV on Mar 30, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator WOODFIELD FUND ADMINISTRATION ROLLING MEADOWS, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG, LLP MINNEAPOLIS, Minnesota, United States
Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No
Marketer FRONTIER SOLUTIONS, LLC ATLANTA, Georgia, United States Related to adviser: No
Marketer MMX MANAGEMENT LLC MINNETONKA, Minnesota, United States Related to adviser: No
Marketer PIPER JAFFRAY & CO. MINNEAPOLIS, Minnesota, United States Related to adviser: Yes
Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

PERSHING LLC
SEC 8-17574

FRONTIER SOLUTIONS, LLC
CRD 136102 · SEC 8-66972

PIPER JAFFRAY & CO.
CRD 665 · SEC 8-15204

PERSHING LLC
CRD 7560 · SEC 8-17574

Filing source

Form ADV 890096 · Mar 30, 2015 · Schedule D 7.B.(1), fund 805-2892126909

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
Heather Calby Executive
Timothy L. Carter Executive
Laura L. Chell Executive
Lora L. Chell Executive
Christopher Crawshaw Director, Executive
John Gallop Director
David Heller Executive
Cari Ann Hopfensperger Executive
Ann C. Mc Cague Executive
Brien O'brien Director, Executive
Shawn Quant Executive
Debbra L. Schoneman Executive
Elizabeth A. Smith Executive
Elisabeth A. Smith Executive
Thomas Smith Director
Martin Bradley Winges Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
800 Nicollet Mall J12 Nat
Minneapolis, MN, 55402