Form D · Hedge Fund

Rootstock Partners LLC

New York, NY · CIK 0001657587

Offering snapshot reported Jan 25, 2018 · SEC filing

Reported sold: $20.9M
Investors reported: 9
Minimum accepted: $250K
First sale: Nov 2, 2015

Fundraising history

Reported sold

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$18,057,000 → $20,890,000

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 25, 2018	Amendment	$20,890,000	$2,833,000vs Nov 10, 2016	9	SEC filing
Nov 10, 2016	Amendment	$18,057,000	$5,507,000vs Nov 4, 2015	9	SEC filing
Nov 4, 2015	Initial	$12,550,000	No comparison	9	SEC 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: 021-250672

Item (b) represents the total amount outstanding as of the date of this filing in reliance on the Regulation D exemption.

Sales compensation recipients

Scroll to see all columns →

Recipient	CRD	Associated broker-dealer
Optima Securities LLC	168881

Source: Form D, filed Jan 25, 2018. 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

ROOTSTOCK PARTNERS LLC

Investment adviser: OPTIMA FUND MANAGEMENT LLC

Gross asset value: $21.6M
Beneficial owners: 9
ADV minimum commitment: $250K

Reported in Form ADV on Mar 23, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MUFG FUND SERVICES (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor RSM US LLP NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: No
Administrator other than the adviser: Yes
External marketing: No

RSM US LLP
PCAOB 49

Filing source

Form ADV 1191101 · Mar 23, 2018 · Schedule D 7.B.(1), fund 805-8003467939

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
Name	Reported role
Optima Group Holdings Llc	Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

10 East 53 Rd Street 29 Th Floor
New York, NY, 10022