Form D · Hedge Fund

Union Avenue Portfolio Fund Ltd.

George Town Grand Cayman, E9 · CIK 0001490432

Offering snapshot reported Apr 17, 2012 · SEC filing

Reported sold: $2.2M
Investors reported: 1
Minimum accepted: $100K
First sale: Apr 17, 2009

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Apr 17, 2012	Amendment	$2,200,000	$0vs Apr 19, 2011	1	SEC filing
Apr 19, 2011	Amendment	$2,200,000	-$12,824,410vs Apr 27, 2010	1	SEC filing
Apr 27, 2010	Initial	$15,024,410	No comparison	0	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-141193

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

UNION AVENUE PORTFOLIO FUND LTD

Investment adviser: UNION AVENUE ADVISORS LP

Gross asset value: $34.2M
Beneficial owners: 6
ADV minimum commitment: $1M

Reported in Form ADV on Feb 23, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator MORGAN STANLEY FUND SERVICES USA LLC PURCHASE, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ROTHSTEIN, KASS & COMPANY (CAYMAN) GEORGE TOWN, Cayman Islands

Auditor ROTHSTEIN, KASS & COMPANY, P.C. ROSELAND, New Jersey, United States

Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN CLEARING CORP. BROOKLYN, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Marketer CONCEPT ASSET MANAGEMENT GARDEN CITY, New York, United States Related to adviser: No

Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States

Prime broker J.P. MORGAN CLEARING CORP. BROOKLYN, New York, United States

Prime broker MORGAN STANLEY & CO. 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: Yes

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

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

MORGAN STANLEY & CO. LLC
SEC 8-15869

CONCEPT ASSET MANAGEMENT
CRD 153397 · SEC 801-72184

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Filing source

Form ADV 615579 · Feb 23, 2012 · Schedule D 7.B.(1), fund 805-8626453138

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
Neal R Brickman	Director
Thomas R. Grossman	Executive, Promoter
Phillip Hughes	Director
Union Avenue Advisors Lp Union Avenue Advisors Lp	Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Ogier Fiduciary Services (Cayman) Queensgate House, South Church Street
George Town Grand Cayman, E9, KY1-1108