Form D · Hedge Fund

StoneWater Capital Opportunities Fund, LP

New York, NY · CIK 0001489972

Offering snapshot reported Mar 19, 2014 · SEC filing

Reported sold
$21.1M
Offering amount: $100M
Investors reported
34
Form D · investor count
Minimum accepted
$1
Reported outside-investor minimum
First sale
May 1, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$10.5M$21.1MMay 12, 2010: $6,500,000.00May 12, 2010Jan 28, 2011: $17,100,000.00Jan 28, 2011Mar 20, 2012: $20,610,000.00Mar 20, 2012Mar 19, 2013: $21,060,000.00Mar 19, 2013Mar 19, 2014: $21,060,000.00Mar 19, 2014

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$20,610,000 → $21,060,000
  • Reported investors33 → 34

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 19, 2014Amendment$21,060,000$450,000vs Mar 20, 201234SEC filing
Mar 19, 2013Amendment$21,060,000$450,000vs Mar 20, 201234SEC filing
Mar 20, 2012Amendment$20,610,000$3,510,000vs Jan 28, 201133SEC filing
Jan 28, 2011Amendment$17,100,000$10,600,000vs May 12, 201027SEC filing
May 12, 2010Initial$6,500,000No comparison11SEC filing

Offering details

Securities
Equity, 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
021-141959

Source: Form D, filed Mar 19, 2014. 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

STONEWATER CAPITAL OPPORTUNITIES FUND LP

Investment adviser: STONEWATER CAPITAL LLC

Gross asset value
$861K
Beneficial owners
17
ADV minimum commitment
$1M

Reported in Form ADV on Apr 17, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator APEX FUND SERVICES (US) INC RED BANK, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor MARCUM LLP MELVILLE, New York, United States
Custodian FIRST REPUBLIC BANK NEW YORK, New York, United States Related to adviser: No
Custodian ROYAL BANK OF CANADA NEW YORK, New York, 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 909916 · Apr 17, 2015 · Schedule D 7.B.(1), fund 805-4723207902

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
Frank Brochin Executive, Promoter
James P. Canales Executive, Promoter
Ernest H. Pomerantz Executive, Promoter
John Santoleri Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
60 East 42 Nd Street Suite 3014
New York, NY, 10165