Form D · Hedge Fund

Rochdale GML Trade Finance Income Fund Ltd

Grand Cayman, E9 · CIK 0001462875

Offering snapshot reported Jul 15, 2014 · SEC filing

Reported sold
$19.3M
Indefinite offering
Investors reported
89
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Mar 1, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$9.63M$19.3MMay 8, 2009: $3,450,000.00May 8, 2009Jun 7, 2010: $14,045,000.00Jun 7, 2010Jun 16, 2011: $18,445,000.00Jun 16, 2011Jun 15, 2012: $18,445,000.00Jun 15, 2012Jul 11, 2013: $18,845,000.00Jul 11, 2013Jul 15, 2014: $19,268,000.00Jul 15, 2014

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$18,845,000 → $19,268,000
  • Reported investors84 → 89

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jul 15, 2014Amendment$19,268,000$423,000vs Jul 11, 201389SEC filing
Jul 11, 2013Amendment$18,845,000$400,000vs Jun 15, 201284SEC filing
Jun 15, 2012Amendment$18,445,000$0vs Jun 16, 201181SEC filing
Jun 16, 2011Amendment$18,445,000$4,400,000vs Jun 7, 201035SEC filing
Jun 7, 2010Amendment$14,045,000$10,595,000vs May 8, 200931SEC filing
May 8, 2009Initial$3,450,000No comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-130795

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
RIM Securities LLC18466

Source: Form D, filed Jul 15, 2014. 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

TRADE FINANCE INCOME FUND LIMITED

Investment adviser: RBC ROCHDALE, LLC

Gross asset value
$11.9M
Beneficial owners
65
ADV minimum commitment
$50K

Reported in Form ADV on Jun 30, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator U.S. BANK MILWAUKEE, Wisconsin, United States Investor statements: Some (provided to some but not all investors) Related to adviser: No
Auditor O'CONNOR DAVIES CAYMAN GEORGE TOWN, Cayman Islands
Custodian KLEINWORT BENSON GUERNSEY, Guernsey Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Filing source

Form ADV 1027239 · Jun 30, 2016 · Schedule D 7.B.(1), fund 805-6735522095

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
Suresh Advani Director, Executive
Patrick Bayliss Executive
N/A City National Rochdale, Llc Promoter
Garrett R. D'alessandro Executive
N/A Gml Capital Llp Promoter
Francesco M. Gozzillo Executive
Daniel A. Hanwacker Director
Peter Timothy Hart Director
Kurt Hawkesworth Executive
Jon C. Hunt Director
Dalia Kay Executive
Jay C. Nadel Director
William O'donnell Executive
N/A Rochdale Investment Management Llc Promoter
Neal B. Rubin Director
Robert E. Svensk Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Maples Corporate Services Limited Ugland House, South Church Street
Grand Cayman, E9, KY1-1104