Form D · Hedge Fund
Providence MBS Fund, Ltd.
Providence, RI · CIK 0001291380
Offering snapshot reported Feb 22, 2017 · SEC filing
- Reported sold
- $1.91B Indefinite offering
- Investors reported
- 135 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- May 1, 2004 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Feb 22, 2017 | Initial | $1,911,172,000 | No comparison | 135 | SEC filing |
| Feb 22, 2016 | Amendment | $1,423,291,000 | $213,900,000vs Feb 20, 2015 | 107 | SEC filing |
| Feb 20, 2015 | Amendment | $1,209,391,000 | $121,950,000vs Feb 21, 2014 | 102 | SEC filing |
| Feb 21, 2014 | Amendment | $1,087,441,000 | $210,280,000vs Feb 22, 2013 | 98 | SEC filing |
| Feb 22, 2013 | Amendment | $877,161,000 | $157,939,000vs Feb 23, 2012 | 90 | SEC filing |
| Feb 23, 2012 | Amendment | $719,222,000 | $367,222,000vs Feb 23, 2011 | 66 | SEC filing |
| Feb 23, 2011 | Amendment | $352,000,000 | $110,000,000vs Feb 24, 2010 | 48 | SEC filing |
| Feb 24, 2010 | Amendment | $242,000,000 | No comparison | 27 | SEC filing |
| Mar 24, 2009 | Amendment | $229,200,000 | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-281114
Finders receive a share of Investment Manager's management and incentive fees.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Vantage Securities Inc. | 112386 | |
| Laureate Wealth Management, LLC | 150751 | |
| Direct Access Partners, LLC | 120950 | |
| First Liberties Securities, Inc. | 14432 | |
| LJS Capital, LLC | 148869 |
Source: Form D, filed Feb 22, 2017. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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.
| Name | Reported role |
|---|---|
| David Bree | Director |
| Russell Joseph Jeffrey | Director, Executive |
| Michael Foster Owens | Executive |
| Jeffrey Joseph Russell | Director, Executive, Promoter |
| Donald Seymour | Director |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:
500 Exchange Street Suite 1200
Providence, RI, 02903
Providence, RI, 02903