Form D · Other Investment Fund

Rockefeller Financial Asia, LLC

New York, NY · CIK 0001517925

Offering snapshot reported Apr 12, 2011 · SEC filing

Reported sold
$23.9M
Indefinite offering
Investors reported
34
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Mar 28, 2011
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 12, 2011Initial$23,900,000No comparison34SEC 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
021-158194

Source: Form D, filed Apr 12, 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

ROCKEFELLER FINANCIAL ASIA LLC

Investment adviser: ROCKEFELLER & CO., INC

Gross asset value
$1.08M
Beneficial owners
32
ADV minimum commitment
$1M

Reported in Form ADV on Jan 3, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator ROCKIT SOLUTIONS LLC STAMFORD, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes
Auditor DELOITTE & TOUCHE LLP STAMFORD, Connecticut, United States
Custodian STATE STREET BANK & TRUST CO. BOSTON, Massachusetts, 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
Filing source

Form ADV 1059184 · Jan 3, 2017 · Schedule D 7.B.(1), fund 805-7752483028

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
N/A Rockefeller & Co., Inc. Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
10 Rockefeller Plaza Third Floor
New York, NY, 10020