Form D · Other Investment Fund

Waterfall Ithaca Fund, LLC

New York, NY · CIK 0001796406

Offering snapshot reported Dec 10, 2019 · SEC filing

Reported sold: $2.05M
Investors reported: 17
Minimum accepted: $50K
First sale: Nov 27, 2019

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Dec 10, 2019	Initial	$2,050,000	No comparison	17	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-355220

Source: Form D, filed Dec 10, 2019. 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

WATERFALL ITHACA FUND, LLC

Investment adviser: WATERFALL ASSET MANAGEMENT, LLC

Gross asset value: $1.97M
Beneficial owners: 16
ADV minimum commitment: $50K

Reported in Form ADV on Jul 23, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator U.S. BANCORP FUND SERVICES, LLC MILWAUKEE, Wisconsin, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE LLP NEW YORK, New York, United States

Custodian CITIBANK, NA NEW YORK, New York, United States Related to adviser: No

Custodian NORTHERN TRUST COMPANY CHICAGO, Illinois, 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

DELOITTE & TOUCHE LLP
PCAOB 34

CITIBANK, NA
LEI E57ODZWZ7FF32TWEFA76

NORTHERN TRUST COMPANY
LEI 6PTKHDJ8HDUF78PFWH30

Filing source

Form ADV 2120325 · Jul 23, 2026 · Schedule D 7.B.(1), fund 805-3495402251

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
Thomas Capasse	Executive
Kenneth Nick	Executive
Jack Ross	Executive
N/A Waterfall Asset Management, Llc	Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

1251 Avenue Of The Americas 50th Floor
New York, NY, 10020