Form D · Hedge Fund

Stone Beach Special Opportunity Fund LLC

Norwalk, CT · CIK 0001538158

Offering snapshot reported Dec 17, 2013 · SEC filing

Reported sold
$14.3M
Indefinite offering
Investors reported
22
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Sep 7, 2012
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$7.15M$14.3MDec 27, 2011Dec 18, 2012: $14,300,000.00Dec 18, 2012Dec 17, 2013: $14,300,000.00Dec 17, 2013

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 investors19 → 22

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Dec 17, 2013Amendment$14,300,000$0vs Dec 18, 201222SEC filing
Dec 18, 2012Amendment$14,300,000No comparison19SEC filing
Dec 27, 2011InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$79K (estimated)
Finders' fees
$0
Form D file number
021-170692
Approximate Assets Under Management as of 12/01/2013.
This excludes internal marketing staff who are paid compensation, but not commission, for their services.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
n/aNoneCrewe Capital, LLC

Source: Form D, filed Dec 17, 2013. 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

STONE BEACH SPECIAL OPPORTUNITY FUND LLC

Investment adviser: STONE BEACH INVESTMENT MANAGEMENT, LLC

Gross asset value
$13.9M
Beneficial owners
20
ADV minimum commitment
$100K

Reported in Form ADV on Apr 1, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator FAIRVIEW INVESTMENT SERVICES LLC RALEIGH, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor BDO USA LLP NEW YORK, New York, United States
Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No
Marketer SILBER BENNETT FINANCIAL, INC. SALT LAKE CITY, Utah, United States Related to adviser: No
Prime broker CITIGROUP GLOBAL MARKETS INC. 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

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

SILBER BENNETT FINANCIAL, INC.
CRD 156435

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

Filing source

Form ADV 886530 · Apr 1, 2015 · Schedule D 7.B.(1), fund 805-6436302407

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
David Lysenko Executive
Edward Smith Executive
N/A Stone Beach Investment Management Llc Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
101 Merritt 7 5 Th Floor
Norwalk, CT, 06851