Form D · Other Investment Fund

Sweetwater Secondaries Fund II, L.P.

Encinitas, CA · CIK 0001740825

Offering snapshot reported Sep 30, 2020 · SEC filing

Reported sold
$330M
Offering amount: $330M
Investors reported
81
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
May 18, 2018
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported investors0 → 81

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Sep 30, 2020Amendment$330,000,000No comparison81SEC filing
May 17, 2018InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$2M (estimated)
Finders' fees
$0
Form D file number
021-312679

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Harken Capital Securities, LLC163749

Source: Form D, filed Sep 30, 2020. 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

SWEETWATER SECONDARIES FUND II L.P.

Investment adviser: SWEETWATER INVESTMENT MANAGEMENT LLC

Gross asset value
$269M
Beneficial owners
96
ADV minimum commitment
$75K

Reported in Form ADV on Aug 31, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STANDISH MANAGEMENT LOS ANGELES, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP LOS ANGELES, California, United States
Custodian BANC OF CALIFORNIA LOS ANGELES, California, United States Related to adviser: No
Custodian LADENBURG THALMANN & CO. INC. NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Marketer HARKEN CAPITAL SECURITIES, LLC BOSTON, Massachusetts, United States Related to adviser: No
Prime broker LADENBURG THALMANN & CO. 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

DELOITTE & TOUCHE LLP
PCAOB 34

BANC OF CALIFORNIA
LEI 549300IBHVRZNE4YFN80

LADENBURG THALMANN & CO. INC.
SEC 8-17230

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

HARKEN CAPITAL SECURITIES, LLC
CRD 163749 · SEC 8-69077

LADENBURG THALMANN & CO. INC.
CRD 505 · SEC 8-17230

Filing source

Form ADV 2120624 · Aug 31, 2026 · Schedule D 7.B.(1), fund 805-9826554590

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
James Gamett Director
Brent Granado Director
Gregg Parise Director
N/A Sweetwater Secondaries Fund Ii Gp Llc Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
662 Encinitas Blvd. Suite 230
Encinitas, CA, 92024