Form D · Hedge Fund

PTAM Dynamic Fixed Income Fund (US), LLC

Chicago, IL · CIK 0001596523

Offering snapshot reported Mar 21, 2017 · SEC filing

Reported sold
$45M
Indefinite offering
Investors reported
34
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Jan 2, 2014
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$22.5M$45MFeb 24, 2016: $35,862,944.00Feb 24, 2016Feb 25, 2016: $35,862,944.00Mar 21, 2017: $44,967,809.00Mar 21, 2017

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$35,862,944 → $44,967,809
  • Reported investors30 → 34

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 21, 2017Amendment$44,967,809$9,104,865vs Feb 25, 201634SEC filing
Feb 25, 2016Amendment$35,862,944$0vs Feb 24, 201630SEC filing
Feb 24, 2016Initial$35,862,944No comparison30SEC filing
Mar 3, 2015Amendment$35,112,944$24,492,149vs Jan 14, 201441SEC filing
Jan 14, 2014Initial$10,620,795No comparison22SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-258067

Source: Form D, filed Mar 21, 2017. 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

PTAM DYNAMIC FIXED INCOME FUND (US), LLC

Investment adviser: PT ASSET MANAGEMENT, LLC

Gross asset value
$10.6M
Beneficial owners
22
ADV minimum commitment
$1M

Reported in Form ADV on Feb 6, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LLP CHICAGO, Illinois, United States
Custodian BARCLAYS CAPITAL INC. NEW YORK, New York, United States Related to adviser: No
Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Marketer AUSDAL FINANCIAL PARTNERS, INC. DAVENPORT, Iowa, United States Related to adviser: No
Marketer DAVENPORT CAPITAL LIMITED SOUTH YORKSHIRE, United Kingdom Related to adviser: No
Prime broker BARCLAYS CAPITAL INC. NEW YORK, New York, United States
Prime broker MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States
Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

BARCLAYS CAPITAL INC.
SEC 8-41342

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

J.P. MORGAN SECURITIES INC.
SEC 8-36950

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

AUSDAL FINANCIAL PARTNERS, INC.
CRD 7995 · SEC 801-69266

BARCLAYS CAPITAL INC.
CRD 19714 · SEC 8-41342

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD 7691 · SEC 8-7221

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Filing source

Form ADV 874774 · Feb 6, 2015 · Schedule D 7.B.(1), fund 805-1992412064

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
Richard Berg Executive, Promoter
Philip Nussbaum Executive, Promoter
Na Na Pt Asset Management, Llc Promoter
Douglas Rothschild Executive
David F. Wilding Executive
David Youderian Executive
Ethan Youderian Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Pt Asset Management, Llc 500 West Madison Street, Suite 470
Chicago, IL, 60661