Form D · Other Investment Fund

TRIAD FUND LLC

New York, NY · CIK 0001352941

Offering snapshot reported Mar 9, 2012 · SEC filing

Reported sold: $4.6M
Investors reported: 28
Minimum accepted: $100K
First sale: Jan 17, 2006

Fundraising history

Reported sold

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$6,342,470 → $4,598,447
Reported investors39 → 28

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 9, 2012	Amendment	$4,598,447	-$1,744,023vs Mar 17, 2011	28	SEC filing
Mar 17, 2011	Initial	$6,342,470	No comparison	39	SEC filing
Aug 18, 2010	Amendment	$5,153,192	-$1,417,619vs Sep 18, 2009	24	SEC filing
Sep 18, 2009	Initial	$6,570,811	No comparison	33	SEC filing
Feb 6, 2006	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-156925

There are no Sales Commissions or Finders' Fees

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
None	None	Glickenhaus & Co. · CRD 2016

Source: Form D, filed Mar 9, 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

TRIAD FUND LLC

Investment adviser: GLICKENHAUS & CO.

Gross asset value: $3.76M
Beneficial owners: 19
ADV minimum commitment: $100K

Reported in Form ADV on Nov 15, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor RSM MCGLADREY INC. - MCGLADREY & PULLEN NEW YORK, New York, United States

Custodian J.P. MORGAN CLEARING CORP. 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: No
External marketing: No

J.P. MORGAN CLEARING CORP.
SEC 8-43724

Filing source

Form ADV 680437 · Nov 15, 2012 · Schedule D 7.B.(1), fund 805-7266616994

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
Name	Reported role
James M Glickenhaus	Executive
Seth M Glickenhaus	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

546 Fifth Ave 7 Th Floor
New York, NY, 10036