Form D · Hedge Fund

TOPWATER OPPORTUNITY FUND LP

Seattle, WA · CIK 0001478496

Offering snapshot reported Apr 17, 2012 · SEC filing

Reported sold
$63.1M
Indefinite offering
Investors reported
95
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Dec 1, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$31.5M$63.1MDec 11, 2009: $200,000.00Dec 11, 2009Apr 6, 2010: $4,271,681.00Apr 11, 2011: $18,851,681.00Apr 11, 2011Apr 17, 2012: $63,057,287.00Apr 17, 2012

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$18,851,681 → $63,057,287
  • Reported investors44 → 95

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 17, 2012Amendment$63,057,287$44,205,606vs Apr 11, 201195SEC filing
Apr 11, 2011Amendment$18,851,681$14,580,000vs Apr 6, 201044SEC filing
Apr 6, 2010Amendment$4,271,681$4,071,681vs Dec 11, 20099SEC filing
Dec 11, 2009Initial$200,000No comparison1SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-136839

Source: Form D, filed Apr 17, 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

TOPWATER OPPORTUNITY FUND, LP

Investment adviser: TOPWATER CAPITAL PARTNERS, LLC

Gross asset value
$134M
Beneficial owners
25
ADV minimum commitment
$500K

Reported in Form ADV on Mar 28, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator JD CLARK & COMPANY CHADDS FORD, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICE WATERHOUSE COOPERS NEW YORK, New York, United States
Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN SACHS EXECUTION & CLEARING, L.P. NEW YORK, New York, United States Related to adviser: No
Custodian HARRIS BANK CHICAGO, Illinois, United States Related to adviser: No
Custodian JEFFERIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Prime broker BTIG, LLC SAN FRANCISCO, California, United States
Prime broker CELADON FINANCIAL GROUP LLC NEW YORK, New York, United States
Prime broker DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Prime broker JEFFERIES LLC NEW YORK, New York, United States
Prime broker WELLS FARGO PRIME SERVICES, LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

GOLDMAN, SACHS & CO.
SEC 8-129

GOLDMAN SACHS EXECUTION & CLEARING, L.P.
SEC 8-526

JEFFERIES LLC
SEC 8-15074

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

BTIG, LLC
CRD 122225 · SEC 8-65473

CELADON FINANCIAL GROUP LLC
CRD 36538 · SEC 8-47288

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

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

JEFFERIES LLC
CRD 2347 · SEC 8-15074

WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677

Filing source

Form ADV 717310 · Mar 28, 2013 · Schedule D 7.B.(1), fund 805-5111752554

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 Barnyak Executive
N/A Freestone Capital Holdings, Llc Executive
Freestone Capital Management Llc Freestone Capital Management, Llc Promoter
N/A Freestone Capital Management, Llc Promoter
N/A Freestone Investments Llc Executive
Freestone Investments Llc Freestone Investments Llc Executive
Gary Furukawa Executive
Janice Greene Executive
Eric Martinez Executive
Erik Morgan Executive
Kevin I. Patrick Executive
Scott Trimble Svenson Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
1918 Eighth Avenue Suite 3400
Seattle, WA, 98101