Form D · Other Investment Fund

Windhorse Ascent, LP

Boston, MA · CIK 0001596501

Offering snapshot reported Jan 26, 2017 · SEC filing

Reported sold
$29.5M
Indefinite offering
Investors reported
13
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jan 1, 2014
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$14.7M$29.5MJan 10, 2014: $16,125,000.00Jan 10, 2014Jan 9, 2015: $25,541,754.00Jan 9, 2015Dec 23, 2015: $25,541,754.00Dec 23, 2015Jan 26, 2017: $29,461,506.00Jan 26, 2017

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$25,541,754 → $29,461,506
  • Reported investors14 → 13

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 26, 2017Amendment$29,461,506$3,919,752vs Dec 23, 201513SEC filing
Dec 23, 2015Amendment$25,541,754$0vs Jan 9, 201514SEC filing
Jan 9, 2015Amendment$25,541,754$9,416,754vs Jan 10, 201412SEC filing
Jan 10, 2014Initial$16,125,000No comparison6SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-209714

Source: Form D, filed Jan 26, 2017. 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

WINDHORSE ASCENT LP

Investment adviser: WINDHORSE CAPITAL MANAGEMENT, LLC

Gross asset value
$660K
Beneficial owners
12
ADV minimum commitment
$5M

Reported in Form ADV on Mar 15, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STONE COAST FUND SERVICES PORTLAND, Maine, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG BOSTON, Massachusetts, United States
Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No
Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, 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

KPMG
PCAOB 185

FIRST REPUBLIC BANK
LEI YWC0TIKBQM2JV8L4IV08

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

Filing source

Form ADV 1284210 · Mar 15, 2019 · Schedule D 7.B.(1), fund 805-7507598431

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
Tyler N. Ayer Executive
Matthew B. Bank Executive
Rodney L. Goldstein Executive
Robert P. Inches Executive
Kevin P. King Executive
Johannes C. Reuter Executive
David A. Salem Executive
N/A Windhorse Capital Management, Llc Promoter
General Partner Windhorse Capital Management, Llc Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
125 High Street, High Street Tower 22nd Floor
Boston, MA, 02110