Form D · Hedge Fund

Roy G. Niederhoffer Optimal Alpha Fund (Onshore) L.P.

New York, NY · CIK 0001467720

Offering snapshot reported Nov 25, 2019 · SEC filing

Reported sold
$50.2M
Indefinite offering
Investors reported
9
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jul 1, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$25.1M$50.2MJul 14, 2009: $11,000,000.00Jul 14, 2009Jun 14, 2010: $11,745,000.00Jun 13, 2011: $11,745,000.00May 14, 2012: $11,745,000.00May 15, 2013: $11,745,000.00May 15, 2014: $22,640,170.00May 4, 2015: $22,640,170.00Nov 30, 2015: $26,401,030.00Nov 30, 2016: $27,401,030.00Nov 30, 2017: $46,887,114.00Nov 29, 2018: $47,371,114.00Nov 25, 2019: $50,221,114.00Nov 25, 2019

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$47,371,114 → $50,221,114

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 25, 2019Amendment$50,221,114$2,850,000vs Nov 29, 20189SEC filing
Nov 29, 2018Amendment$47,371,114$484,000vs Nov 30, 20179SEC filing
Nov 30, 2017Amendment$46,887,114$19,486,084vs Nov 30, 20167SEC filing
Nov 30, 2016Amendment$27,401,030$1,000,000vs Nov 30, 20157SEC filing
Nov 30, 2015Amendment$26,401,030$3,760,860vs May 4, 20157SEC filing
May 4, 2015Amendment$22,640,170$10,895,170vs Jun 14, 20105SEC filing
May 15, 2014Amendment$22,640,170$10,895,170vs Jun 14, 20105SEC filing
May 15, 2013Amendment$11,745,000$0vs Jun 14, 20103SEC filing
May 14, 2012Amendment$11,745,000$0vs Jun 14, 20103SEC filing
Jun 13, 2011Amendment$11,745,000$0vs Jun 14, 20103SEC filing
Jun 14, 2010Amendment$11,745,000$745,000vs Jul 14, 20093SEC filing
Jul 14, 2009Initial$11,000,000No comparison2SEC filing

Offering details

Securities
Pooled investment fund, Other
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-132738
Equity Series

Source: Form D, filed Nov 25, 2019. 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

ROY G. NIEDERHOFFER OPTIMAL ALPHA (FUND) ONSHORE L.P.

Investment adviser: R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.

Gross asset value
$0
Beneficial owners
0
ADV minimum commitment
$1M

Reported in Form ADV on Mar 31, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NAV CONSULTING INC. CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION JERSEY CITY, New Jersey, 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 1097113 · Mar 31, 2017 · Schedule D 7.B.(1), fund 805-4121775426

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
Roy G. Niederhoffer Director, Executive, Promoter
Paul Shen Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
1700 Broadway 39 Th Floor
New York, NY, 10019