Form D · Hedge Fund

PREFERRED YIELD PLUS LP

Orinda, CA · CIK 0001122892

Offering snapshot reported Feb 8, 2018 · SEC filing

Reported sold: $20.2M
Investors reported: 152
Minimum accepted: $100K
First sale: Apr 1, 1999

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$19,876,239 → $20,209,027

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Feb 8, 2018	Amendment	$20,209,027	$332,788vs Feb 9, 2017	152	SEC filing
Feb 9, 2017	Amendment	$19,876,239	$3,890,656vs Mar 17, 2016	152	SEC filing
Mar 17, 2016	Amendment	$15,985,583	$0vs Mar 15, 2016	135	SEC filing
Mar 15, 2016	Amendment	$15,985,583	-$3,013,290vs Mar 30, 2015	135	SEC filing
Mar 30, 2015	Amendment	$18,998,873	$1,468,873vs Mar 19, 2014	133	SEC filing
Mar 19, 2014	Amendment	$17,530,000	$1,785,000vs Aug 13, 2013	129	SEC filing
Aug 13, 2013	Amendment	$15,745,000	$2,413,252vs Jan 10, 2012	113	SEC filing
Jan 10, 2012	Amendment	$13,331,748	No comparison	113	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $923K (estimated)
Finders' fees: $0
Form D file number: 021-59800

Total amount sold represents current value of the Fund and not the gross amount sold since inception of the Fund.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
FSC SECURITIES CORP.	7461
THE STRATEGIC FINANCIAL ALLIANCE	126514
COMMONWEALTH FINANCIAL NETWORK	8032
STANFORD INVESTMENT GROUP	10331
AMERICAN INVESTORS COMPANY	38
CETERA ADVISORS LLC	10299
LPL FINANCIAL LLC	6413

Source: Form D, filed Feb 8, 2018. 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

PREFERRED YIELD PLUS, LP

Investment adviser: ORINDA ASSET MANAGEMENT LLC

Gross asset value: $20.1M
Beneficial owners: 95
ADV minimum commitment: $50K

Reported in Form ADV on Aug 30, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator ALPS ALTERNATIVE INVESTMENT SERVICES LLC DENVER, Colorado, United States Investor statements: Some (provided to some but not all investors) Related to adviser: No

Auditor COHEN AND COMPANY CLEVELAND, Ohio, United States

Custodian BNP PARIBAS SECURITIES CORP. SAN FRANCISCO, California, United States Related to adviser: No

Prime broker BNP PARIBAS SECURITIES CORP. SAN FRANCISCO, California, United States

Provider details

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

COHEN AND COMPANY
PCAOB 925

BNP PARIBAS SECURITIES CORP.
SEC 8-32682

BNP PARIBAS SECURITIES CORP.
CRD 15794 · SEC 8-32682

Filing source

Form ADV 1232602 · Aug 30, 2018 · Schedule D 7.B.(1), fund 805-4920359316

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
Double Green Partners Llc Double Green Partners Llc	Executive
Forward Management, Llc Forward Management, Llc	Executive
Paul Gray Ii	Executive
Orinda Asset Management Llc Orinda Asset Management Llc	Executive
Usher Gp, Llc Usher Gp, Llc	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

4 Orinda Way Suite 150 A
Orinda, CA, 94563