Form D · Other Investment Fund

ROCKEFELLER GLOBAL FINANCIAL SERVICES RECOVERY FUND LLC

New York, NY · CIK 0001439382

Offering snapshot reported Jun 2, 2015 · SEC filing

Reported sold
$31M
Indefinite offering
Investors reported
16
Form D · investor count
Minimum accepted
$500K
Reported outside-investor minimum
First sale
Jun 12, 2008
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$15.5M$31MJul 2, 2008Sep 30, 2009: $25,256,000.00Oct 12, 2010: $25,256,000.00Nov 7, 2011: $25,256,000.00Jun 3, 2013: $25,256,000.00Jun 2, 2014: $25,256,000.00Jun 2, 2015: $31,008,300.00Jun 2, 2015

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$25,256,000 → $31,008,300

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jun 2, 2015Amendment$31,008,300$5,752,300vs Jun 2, 201416SEC filing
Jun 2, 2014Amendment$25,256,000$0vs Jun 3, 201316SEC filing
Jun 3, 2013Amendment$25,256,000$0vs Nov 7, 201116SEC filing
Nov 7, 2011Amendment$25,256,000$0vs Oct 12, 201016SEC filing
Oct 12, 2010Amendment$25,256,000$0vs Sep 30, 200916SEC filing
Sep 30, 2009Amendment$25,256,000No comparison16SEC filing
Jul 2, 2008PaperNot reportedNo comparisonNot reportedSEC filing
Jul 2, 2008PaperNot reportedNo comparisonNot reportedSEC 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
021-119937

Source: Form D, filed Jun 2, 2015. 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 GLOBAL FINANCIAL SERVICES RECOVERY FUND LLC

Investment adviser: ROCKEFELLER & CO., INC

Gross asset value
$27.6M
Beneficial owners
12
ADV minimum commitment
$100K

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 J.P. MORGAN PRIVATE BANK NEWARK, Delaware, United States Related to adviser: No
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

J.P. MORGAN SECURITIES LLC
SEC 8-35008

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

Filing source

Form ADV 1059184 · Jan 3, 2017 · Schedule D 7.B.(1), fund 805-7794198141

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 N/A Rockefeller & Co., Inc. Executive
N/A N/A Rockefeller Fund Managers, Llc Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Rockefeller & Co Inc 10 Rockefeller Plaza
New York, NY, 10020