Form D · Private Equity Fund
Waterfall TALF Opportunity Fund, Ltd.
Grand Cayman, E9 · CIK 0001465902
Offering snapshot reported Jun 16, 2010 · SEC filing
- Reported sold
- $4.74M Indefinite offering
- Investors reported
- 4 Form D · investor count
- Minimum accepted
- $100K Reported outside-investor minimum
- First sale
- Jul 1, 2009 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
- Reported investors0 → 4
- Minimum accepted$0 → $100,000
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jun 16, 2010 | Amendment | $4,740,000 | No comparison | 4 | SEC filing |
| Jun 9, 2009 | Initial | Yet to sell | No comparison | 0 | SEC filing |
Offering details
- Securities
- 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
- 021-131811
Adviser pays a portion of its advisory fees, which may vary from time to time, to the selling agents.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| M.D. Sass Securities, L.L.C. | 139760 |
Source: Form D, filed Jun 16, 2010. 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 TALF OPPORTUNITY FUND, LTD.
Investment adviser: WATERFALL ASSET MANAGEMENT, LLC
- Gross asset value
- Not reported
- Beneficial owners
- Not reported
- ADV minimum commitment
- Not reported
Reported in Form ADV on Jan 17, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
No provider names available in this fund's imported disclosure.
Provider details
- Annual audit
- Not reported
- Prime brokers
- Not reported
- Custodians
- Not reported
- Administrator other than the adviser
- Not reported
- External marketing
- Not reported
Filing source
Form ADV 693132 · Jan 17, 2013 · Schedule D 7.B.(1), fund 805-7166852223
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.
| Name | Reported role |
|---|---|
| Ramona Bowry | Director |
| Bobby Liu | Director, Executive |
| Alan Tooker | Director |
| N/A Waterfall Asset Management, Llc | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Grand Cayman, E9, KY1-1108