Form D · Other Investment Fund

ZEPHYR AURORA FUND LP

New York, NY · CIK 0001257822

Offering snapshot reported Mar 10, 2014 · SEC filing

Reported sold
$275M
Indefinite offering
Investors reported
122
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Jul 1, 2003
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$137M$275MMar 17, 2009: $211,900,865.00Mar 17, 2009Mar 16, 2010: $211,974,715.00Mar 16, 2010Mar 8, 2011: $233,614,189.00Mar 8, 2011Mar 28, 2012: $255,089,189.00Mar 28, 2012Mar 8, 2013: $262,739,189.00Mar 8, 2013Mar 10, 2014: $274,839,189.00Mar 10, 2014

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$262,739,189 → $274,839,189
  • Reported investors120 → 122

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 10, 2014Amendment$274,839,189$12,100,000vs Mar 8, 2013122SEC filing
Mar 8, 2013Amendment$262,739,189$7,650,000vs Mar 28, 2012120SEC filing
Mar 28, 2012Amendment$255,089,189$21,475,000vs Mar 8, 2011115SEC filing
Mar 8, 2011Amendment$233,614,189$21,639,474vs Mar 16, 2010106SEC filing
Mar 16, 2010Amendment$211,974,715$73,850vs Mar 17, 200981SEC filing
Mar 17, 2009Amendment$211,900,865No comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$379K (estimated)
Form D file number
021-57381

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Blakely Chapman Page2922955Spouting Rock Capital Advisors, LLC · CRD 143180
Paul Weissman4661896Centenium Advisors, LLC · CRD 135778

Source: Form D, filed Mar 10, 2014. 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

GUARDIAN AURORA EMERGING MARKETS EQUITY FUND, L.P.

Investment adviser: GUARDIAN CAPITAL LP

Gross asset value
$3.95M
Beneficial owners
8
ADV minimum commitment
$500K

Reported in Form ADV on Jun 26, 2023. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STATE STREET CAYMAN TRUST COMPANY, LTD. GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP TORONTO, Canada
Custodian STATE STREET BANK AND TRUST COMPANY TORONTO, Canada Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

PRICEWATERHOUSECOOPERS LLP
PCAOB 271

Filing source

Form ADV 1770126 · Jun 26, 2023 · Schedule D 7.B.(1), fund 805-5050095799

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
Tina Keriazes Executive
Barry C. Thomas Executive
. Zephyr Aurora General Partner, L.P. Director
N/A Zephyr Aurora General Partner, L.P. Director
. Zephyr Management U.K. Ltd Director
N/A Zephyr Management U.K. Ltd Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
320 Park Avenue 28 Th Floor
New York, NY, 10022