Form D · Hedge Fund

ROYCE ADVANTAGE FUND LLC

New York, NY · CIK 0001183077

Offering snapshot reported Mar 16, 2012 · SEC filing

Reported sold: $24.4M
Investors reported: 21
Minimum accepted: $100K
First sale: Jan 29, 1999

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 16, 2012	Amendment	$24,367,000	$0vs Mar 16, 2011	21	SEC filing
Mar 16, 2011	Amendment	$24,367,000	$400,000vs Mar 16, 2010	21	SEC filing
Mar 16, 2010	Amendment	$23,967,000	No comparison	21	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $105K (estimated)
Finders' fees: $0
Form D file number: 021-47738

As of 3/1/12

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Stifel, Nicolaus & Company, Incorporated	793	Stifel, Nicolaus & Company, Incorporated · CRD 793

Source: Form D, filed Mar 16, 2012. 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

ROYCE ADVANTAGE FUND, LLC

Investment adviser: ROYCE & ASSOCIATES, LP

Gross asset value: $12.8M
Beneficial owners: 5
ADV minimum commitment: $250K

Reported in Form ADV on Oct 4, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ROTHSTEIN, KASS & COMPANY, P.C. ROSELAND, New Jersey, United States

Custodian GOLDMAN, SACHS & CO. NEW YORK,, New York, United States Related to adviser: No

Marketer STIFEL, NICOLAUS & COMPANY, INCORPORATED ST. LOUIS, Missouri, United States Related to adviser: No

Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

GOLDMAN, SACHS & CO.
SEC 8-129

STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD 793 · SEC 801-10746

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

Filing source

Form ADV 673181 · Oct 4, 2012 · Schedule D 7.B.(1), fund 805-6390245095

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
John E. Denneen	Executive
John D. Diederich	Executive
Jack E. Fockler, Jr.	Executive
W. Whitney George	Executive
Michael A. Mc Allister	Executive
Daniel A. O'byrne	Executive
Charles M. Royce	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

745 Fifth Avenue
New York, NY, 10151