Form D · Other Investment Fund

PPB ADVISORS ALTERNATIVE SERIES FUND LP

Bala Cynwyd, PA · CIK 0001448662

Offering snapshot reported Oct 28, 2011 · SEC filing

Reported sold
$45.6M
Indefinite offering
Investors reported
96
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Oct 1, 2008
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$22.8M$45.6MJul 17, 2009: $2,400,000.00Jul 17, 2009Jul 16, 2010: $24,708,374.00Jul 16, 2010Jul 23, 2010: $24,708,374.00Oct 28, 2011: $45,606,974.00Oct 28, 2011

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$24,708,374 → $45,606,974
  • Reported investors53 → 96

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Oct 28, 2011Amendment$45,606,974$20,898,600vs Jul 23, 201096SEC filing
Jul 23, 2010Amendment$24,708,374$0vs Jul 16, 201053SEC filing
Jul 16, 2010Amendment$24,708,374$22,308,374vs Jul 17, 200953SEC filing
Jul 17, 2009Amendment$2,400,000No comparison2SEC filing
Mar 18, 2009Initial$2,400,000No comparisonNot reportedSEC filing

Offering details

Securities
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
021-123765

Source: Form D, filed Oct 28, 2011. 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

PPB ADVISORS ALTERNATE SERIES FUND, LP

Investment adviser: PPB ADVISORS, LLC

Gross asset value
$0
Beneficial owners
18
ADV minimum commitment
$100K

Reported in Form ADV on Jan 24, 2023. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NAV CONSULTING OAK BROOK, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor SPICER CHICAGO, Illinois, United States
Custodian TD BANK KING OF PRUSSIA, Pennsylvania, 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

SPICER
PCAOB 344

Filing source

Form ADV 1704472 · Jan 24, 2023 · Schedule D 7.B.(1), fund 805-3347756736

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
Penny Battisto Executive
Charles Fry Director
Brendan W. Lake Executive
Brendon Lake Promoter
N/A N/A Ppb Advisors Gp, Llc Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
2 Bala Plaza, Suite 603 333 East City Avenue
Bala Cynwyd, PA, 19004