Form D · Hedge Fund
Sterne Agee Asia Fund L P
Atlanta, 2Q · CIK 0001381287
Offering snapshot reported Nov 22, 2011 · SEC filing
- Reported sold
- $10.4M Offering amount: $25M
- Investors reported
- 53 Form D · investor count
- Minimum accepted
- $250K Reported outside-investor minimum
- First sale
- Nov 1, 2006 As reported in this filing
Fundraising history
Reported soldDates 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$11,125,525 → $10,430,430
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Nov 22, 2011 | Amendment | $10,430,430 | -$695,095vs Mar 17, 2009 | 53 | SEC filing |
| Mar 16, 2010 | Amendment | $11,125,525 | $0vs Mar 17, 2009 | 54 | SEC filing |
| Mar 17, 2009 | Initial | $11,125,525 | No comparison | Not reported | SEC filing |
| Nov 9, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund, Other
- Exemptions
- 06, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-96707
Patnership Interests
*Sales commissions and similar remuneration are payable by the General Partner out of its assets.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Shollmier, Dudley | 1750651 | Sterne, Agee and Leach, Inc. · CRD 791 |
| Barrow, Craig | 13636 | Sterne, Agee and Leach, Inc. · CRD 791 |
| Martin, Vincent | 1296599 | Sterne, Agee and Leach, Inc. · CRD 791 |
| Barrow, David | 13639 | Sterne, Agee and Leach, Inc. · CRD 791 |
| Lee, Alonzo | 305135 | Sterne, Agee and Leach, Inc. · CRD 791 |
| Lynn, Henry | 315266 | Sterne, Agee and Leach, Inc. · CRD 791 |
| Poe, Hoke | 1820278 | Sterne, Agee and Leach, Inc. · CRD 791 |
| Ruch, Terry | 2761014 | Sterne, Agee and Leach, Inc. · CRD 791 |
| Johnson, Mat | 259903 | Sterne, Agee and Leach, Inc. · CRD 791 |
| McElroy, Taylor | 4707879 | Sterne, Agee and Leach, Inc. · CRD 791 |
Source: Form D, filed Nov 22, 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
STERNE AGEE ASIA FUND, L.P.
Investment adviser: SEABRIDGE INVESTMENT ADVISORS LLC
- Gross asset value
- $7.59M
- Beneficial owners
- 50
- ADV minimum commitment
- $250K
Reported in Form ADV on Feb 5, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
CHARLES SCHWAB & CO., INC.
SEC 8-16514
CHARLES SCHWAB & CO., INC.
CRD 5393 · SEC 8-16514
Filing source
Form ADV 874008 · Feb 5, 2015 · Schedule D 7.B.(1), fund 805-6779389416
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.
| Name | Reported role |
|---|---|
| Sterne Agee Asset Management, Inc. | Director, Executive |
| K. Brian Barze | Executive |
| Andrew R. Chambless | Director, Executive |
| Jerry K. Harris | Director, Executive |
| T. Jerry Harris | Director, Executive |
| W. A. Ruch, Iii | Director, Executive |
| Jerry K. Seton | Director |
| N/A Sterne Agee Asset Management, Inc. | Director, Executive |
| F. Eugene Woodham | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Atlanta, 2Q, 30305