Sponsor Check › Aetos Capital › Issuer
Other · organized in CAYMAN ISLANDS · formed Over five years ago · NEW YORK, NY · SEC CIK 1589365
Part of sponsor group: Aetos Capital (6 issuers, 90 filings) · grouped because: shared people, same business address, similar issuer names · confidence 100% · Not the same sponsor? Request a correction
Data last updated: Oct 23, 2026, 5:45 PM ET · Latest filing by this issuer: Oct 22, 2026 · Courts (RECAP) last checked: not yet · SEC enforcement last checked: not yet
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Sources to be searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. State securities regulator actions: not yet searched. · Search queued. Results are added automatically; check back later or follow this page to be notified.
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What will be compared: what the sponsor says publicly (website, marketing materials, claimed profile) against what public records show — SEC Form D filings, Form ADV adviser registration, and state business records. Every comparison is reviewed by a person before it is published.
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Sources to be compared: sponsor public claims · SEC Form D · SEC Form ADV (IAPD) · state business records · As of Oct 23, 2026, 9:17 PM ET.
0 of 1 offering report sales commissions; 0 report finder's fees; 0 report proceeds to related persons.
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Oct 22, 2026 D/A File 021-205090 | $0 | $0 | $0 | None listed |
As reported by the issuer on Form D (Items 12–15), latest filing per offering. "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates.
Each filing as reported by the issuer. Open a row for the full plain-English detail.
| Filing | Form D/A (amendment) filed Oct 22, 2026 · amends 0001169578-25-000161 ↗ SEC file no. 021-205090 · accession 0001213900-26-111500 |
|---|---|
| Raise progress | $2,351,867 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Oct 22, 2026 (4708 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 22, 2026. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 13 total · includes 2 non-accredited investors |
| Exemption claimed | Rule 504; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $1 - $5,000,000 |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Marc Baum, General Counsel, Aetos Alternatives Mgmt., LP, Inv. Mgr. (Oct 21, 2026) |
| Changes vs prior filing | exemption: 3C.1, 04, 3C → 04, 3C, 3C.1 Compared with the D/A filed Oct 22, 2025 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the EDGAR daily index |
| Filing | Form D/A (amendment) filed Oct 22, 2025 · amends 0001169578-24-000160 ↗ SEC file no. 021-205090 · accession 0001169578-25-000161 |
|---|---|
| Raise progress | $2,351,867 sold of Indefinite offered · Indefinite remaining Sales are cumulative since date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Oct 22, 2025 (4343 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 13 total · includes 2 non-accredited investors |
| Exemption claimed | Investment Company Act 3C.1 exclusion; Rule 504; Investment Company Act 3C exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $1 - $5,000,000 |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Marc Baum, CCO, Aetos Alternatives Management, LP, Investment Manager (Oct 22, 2025) Signed by an authorized representative. |
| Changes vs prior filing | No change in the fields we track Compared with the D/A filed Oct 23, 2024 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D/A (amendment) filed Oct 23, 2024 · amends 0001567619-23-007533 ↗ SEC file no. 021-205090 · accession 0001169578-24-000160 |
|---|---|
| Raise progress | $2,351,867 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Oct 23, 2024 (3979 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 23, 2024. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 13 total · includes 2 non-accredited investors |
| Exemption claimed | Investment Company Act 3C.1 exclusion; Rule 504; Investment Company Act 3C exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $1 - $5,000,000 |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Marc Baum, Chief Compliance Officer of Aetos Alternatives Management LP (Oct 23, 2024) Signed by an authorized representative. |
| Changes vs prior filing | total sold: $2,328,367 → $2,351,867 investors: 11 → 13 exemption: 04, 3C.1 → 3C.1, 04, 3C Compared with the D/A filed Oct 20, 2023 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D/A (amendment) filed Oct 20, 2023 · amends 0001140361-16-083242 ↗ SEC file no. 021-205090 · accession 0001567619-23-007533 |
|---|---|
| Raise progress | $2,328,367 sold of Indefinite offered · Indefinite remaining Sales are cumulative since date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Oct 20, 2023 (3610 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 20, 2023. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 11 total · includes 2 non-accredited investors |
| Exemption claimed | Rule 504; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $1 - $5,000,000 |
| Who is paid to sell it | N/A — no CRD number reported Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Harold Schaaff, Director (Oct 20, 2023) |
| Changes vs prior filing | total sold: $1,735,700 → $2,328,367 investors: 24 → 11 exemption: 05, 3C.1 → 04, 3C.1 Compared with the D/A filed Oct 21, 2016 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D/A (amendment) filed Oct 20, 2022 · amends 0001140361-16-083242 ↗ SEC file no. 021-205090 · accession 0001567619-22-018631 |
|---|---|
| Raise progress | $2,158,070 sold of Indefinite offered · Indefinite remaining Sales are cumulative since date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Oct 20, 2022 (3245 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 20, 2022. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 11 total · includes 2 non-accredited investors |
| Exemption claimed | Rule 504; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $1 - $5,000,000 |
| Who is paid to sell it | N/A — no CRD number reported Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Harold Schaaff, Director (Oct 20, 2022) |
| Changes vs prior filing | total sold: $1,735,700 → $2,158,070 investors: 24 → 11 exemption: 05, 3C.1 → 04, 3C.1 Compared with the D/A filed Oct 21, 2016 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D/A (amendment) filed Oct 22, 2021 · amends 0001140361-16-083242 ↗ SEC file no. 021-205090 · accession 0001567619-21-018558 |
|---|---|
| Raise progress | $2,142,337 sold of Indefinite offered · Indefinite remaining Sales are cumulative since date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Oct 22, 2021 (2882 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 22, 2021. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 11 total · includes 0 non-accredited investors |
| Exemption claimed | Rule 504; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $1 - $5,000,000 |
| Who is paid to sell it | N/A — no CRD number reported Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Harold Schaaff, Director (Oct 22, 2021) |
| Changes vs prior filing | total sold: $1,735,700 → $2,142,337 investors: 24 → 11 exemption: 05, 3C.1 → 04, 3C.1 Compared with the D/A filed Oct 21, 2016 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D/A (amendment) filed Oct 22, 2020 · amends 0001140361-16-083242 ↗ SEC file no. 021-205090 · accession 0001567619-20-018077 |
|---|---|
| Raise progress | $2,142,337 sold of Indefinite offered · Indefinite remaining Sales are cumulative since date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Oct 22, 2020 (2517 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 22, 2020. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 11 total · includes 3 non-accredited investors |
| Exemption claimed | Rule 504; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $1 - $5,000,000 |
| Who is paid to sell it | N/A — no CRD number reported Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Harold Schaaff, Director (Oct 22, 2020) |
| Changes vs prior filing | total sold: $1,735,700 → $2,142,337 investors: 24 → 11 exemption: 05, 3C.1 → 04, 3C.1 Compared with the D/A filed Oct 21, 2016 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D/A (amendment) filed Oct 23, 2019 · amends 0001140361-16-083242 ↗ SEC file no. 021-205090 · accession 0001567619-19-019900 |
|---|---|
| Raise progress | $2,126,162 sold of Indefinite offered · Indefinite remaining Sales are cumulative since date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Oct 23, 2019 (2152 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 23, 2019. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 11 total · includes 1 non-accredited investors |
| Exemption claimed | Rule 504; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $1 - $5,000,000 |
| Who is paid to sell it | N/A — no CRD number reported Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Harold Schaaff, Director (Oct 23, 2019) |
| Changes vs prior filing | total sold: $1,735,700 → $2,126,162 investors: 24 → 11 exemption: 05, 3C.1 → 04, 3C.1 Compared with the D/A filed Oct 21, 2016 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D/A (amendment) filed Oct 23, 2018 · amends 0001140361-16-083242 ↗ SEC file no. 021-205090 · accession 0001567619-18-004399 |
|---|---|
| Raise progress | $2,124,784 sold of Indefinite offered · Indefinite remaining Sales are cumulative since date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Oct 23, 2018 (1787 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 23, 2018. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 18 total · includes 1 non-accredited investors |
| Exemption claimed | Rule 504; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $5,000,001 - $25,000,000 |
| Who is paid to sell it | N/A — no CRD number reported Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Harold Schaaff, Director (Oct 23, 2018) |
| Changes vs prior filing | total sold: $1,735,700 → $2,124,784 investors: 24 → 18 exemption: 05, 3C.1 → 04, 3C.1 Compared with the D/A filed Oct 21, 2016 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D/A (amendment) filed Oct 23, 2017 · amends 0001140361-16-083242 ↗ SEC file no. 021-205090 · accession 0001140361-17-039262 |
|---|---|
| Raise progress | $1,822,984 sold of Indefinite offered · Indefinite remaining Sales are cumulative since date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Oct 23, 2017 (1422 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 23, 2017. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 23 total · includes 0 non-accredited investors |
| Exemption claimed | Rule 504; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $5,000,001 - $25,000,000 |
| Who is paid to sell it | N/A — no CRD number reported Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Harold Schaaff, Director (Oct 23, 2017) |
| Changes vs prior filing | total sold: $1,735,700 → $1,822,984 investors: 24 → 23 exemption: 05, 3C.1 → 04, 3C.1 Compared with the D/A filed Oct 21, 2016 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D/A (amendment) filed Oct 21, 2016 · amends 0001140361-15-038377 ↗ SEC file no. 021-205090 · accession 0001140361-16-083242 |
|---|---|
| Raise progress | $1,735,700 sold of Indefinite offered · Indefinite remaining Sales are cumulative from date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Oct 21, 2016 (1055 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 21, 2016. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 24 total · includes 0 non-accredited investors |
| Exemption claimed | 05; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $5,000,001 - $25,000,000 |
| Who is paid to sell it | N/A — no CRD number reported Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Harold Schaaff, Director (Oct 21, 2016) |
| Changes vs prior filing | total sold: $50,000 → $1,735,700 investors: 22 → 24 exemption: 06b, 3C.1 → 05, 3C.1 non-accredited investors: no → yes Compared with the D/A filed Oct 23, 2015 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D/A (amendment) filed Mar 24, 2016 · amends 0001140361-15-038377 ↗ SEC file no. 021-205090 · accession 0001140361-16-058894 |
|---|---|
| Raise progress | $1,162,100 sold of Indefinite offered · Indefinite remaining Sales are cumulative since date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Mar 24, 2016 (844 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Mar 24, 2016. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 21 total · includes 0 non-accredited investors |
| Exemption claimed | 05; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $5,000,001 - $25,000,000 |
| Who is paid to sell it | N/A — no CRD number reported Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Harold Schaaff, Director (Mar 23, 2016) |
| Changes vs prior filing | total sold: $50,000 → $1,162,100 investors: 22 → 21 exemption: 06b, 3C.1 → 05, 3C.1 non-accredited investors: no → yes Compared with the D/A filed Oct 23, 2015 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D/A (amendment) filed Mar 22, 2016 · amends 0001140361-15-038377 ↗ SEC file no. 021-205090 · accession 0001140361-16-058704 |
|---|---|
| Raise progress | $450,000 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Mar 22, 2016 (842 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Mar 22, 2016. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 21 total · issuer reported no non-accredited investors |
| Exemption claimed | 05; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $5,000,001 - $25,000,000 |
| Who is paid to sell it | N/A — no CRD number reported Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Harold Schaaff, Director (Mar 22, 2016) |
| Changes vs prior filing | total sold: $50,000 → $450,000 investors: 22 → 21 exemption: 06b, 3C.1 → 05, 3C.1 Compared with the D/A filed Oct 23, 2015 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D/A (amendment) filed Oct 23, 2015 · amends 0001589363-13-000004 ↗ SEC file no. 021-205090 · accession 0001140361-15-038377 |
|---|---|
| Raise progress | $50,000 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Oct 23, 2015 (691 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 23, 2015. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 22 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $5,000,001 - $25,000,000 |
| Who is paid to sell it | N/A — no CRD number reported Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Harold Schaaff, Director (Oct 23, 2015) |
| Changes vs prior filing | total sold: $0 → $50,000 investors: 24 → 22 exemption: 06b, 3C, 3C.1 → 06b, 3C.1 Compared with the D filed Oct 23, 2013 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D/A (amendment) filed Oct 23, 2014 · amends 0001589363-13-000004 ↗ SEC file no. 021-205090 · accession 0001140361-14-038862 |
|---|---|
| Raise progress | $712,100 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Dec 1, 2013 · Form D filed: Oct 23, 2014 (326 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,710 days (12.9 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 23, 2014. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 24 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $5,000,001 - $25,000,000 |
| Who is paid to sell it | N/A — no CRD number reported Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Harold Schaaff, Director (Oct 23, 2014) |
| Changes vs prior filing | total sold: $0 → $712,100 exemption: 06b, 3C, 3C.1 → 06b, 3C.1 Compared with the D filed Oct 23, 2013 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D filed Oct 23, 2013 SEC file no. 021-205090 · accession 0001589363-13-000004 |
|---|---|
| Raise progress | $0 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Yet to occur · Form D filed: Oct 23, 2013 Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 24 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $50,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: $5,000,001 - $25,000,000 |
| Who is paid to sell it | Not applicable — no CRD number reported Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Harold Schaaff, Director (Oct 23, 2013) |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
All Form D filings for this CIK on SEC EDGAR ↗. History: 0 new offerings in the last 12 months · most recent filing Oct 22, 2026.
| Name | Relationship | Address state | On filings | Also listed on |
|---|---|---|---|---|
| Michael F Klein | Director | NY | Oct 23, 2024 → Oct 22, 2026 | 5 other issuers |
| Rhea Elizabeth Anne Casscells | Director | NY | Oct 22, 2026 | 5 other issuers |
| Rhea Elizabeth Anne F Casscells | Director | NY | Oct 22, 2025 | 5 other issuers |
| Anne F Casscells | Director | NY | Oct 23, 2024 | 6 other issuers |
| Harold Schaaff | Director | NY | Oct 23, 2013 → Oct 20, 2023 | 6 other issuers |
| Michael Klein | Director | NY | Oct 23, 2013 → Oct 20, 2023 | 8 other issuers |
Executive officers, directors and promoters as self-reported by the issuer. Licensed persons: FINRA BrokerCheck ↗ · SEC IAPD ↗.
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Shared address: this business address appears on filings for 5 other issuers. Stated as a count only — many addresses are shared office buildings or registered agents.
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