Form D · Other Investment Fund
WINDOW ROCK CREDIT OPPORTUNITY FUND, LLC
Gilbert, AZ · CIK 0001651499
Offering snapshot reported Nov 7, 2016 · SEC filing
- Reported sold
- $75M Indefinite offering
- Investors reported
- 258 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Mar 20, 2015 As reported in this filing
Fundraising history
Reported soldDates 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$37,000,000 → $75,008,900
- Reported investors136 → 258
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Nov 7, 2016 | Amendment | $75,008,900 | $38,008,900vs Sep 22, 2015 | 258 | SEC filing |
| Sep 22, 2015 | Initial | $37,000,000 | No comparison | 136 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b, 3C, 3C.5, 3C.6
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0 (estimated)
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-247986
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| CliftonLarsonAllen Wealth Advisors, LLC | 38357 | CliftonLarsonAllen Wealth Advisors, LLC · CRD 38357 |
Source: Form D, filed Nov 7, 2016. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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 |
|---|---|
| N/A Window Rock Manager, Llc | Director, Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Gilbert, AZ, 85234