Sponsor Check › Aetos Capital › Issuer
Other · organized in CAYMAN ISLANDS · formed Over five years ago · NEW YORK, NY · SEC CIK 1589366
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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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, 9:16 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 021-205088 | $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 0001169578-25-000157 ↗ SEC file no. 021-205088 · accession 0001213900-26-111496 |
|---|---|
| Raise progress | $487,848,406 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 | 71 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.7 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: Over $100,000,000 |
| 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 | total sold: $484,348,406 → $487,848,406 investors: 73 → 71 exemption: 3C.7, 06b, 3C → 06b, 3C, 3C.7 Compared with the D/A filed Oct 22, 2025 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 71. Typical range: 4–27. "Similar" = Pooled Investment Fund offerings claiming 506(b) filed in the last 5 years (83,801 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the EDGAR daily index |
| Filing | Form D/A (amendment) filed Oct 22, 2025 · amends 0001169578-24-000162 ↗ SEC file no. 021-205088 · accession 0001169578-25-000157 |
|---|---|
| Raise progress | $484,348,406 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Nov 1, 2013 · Form D filed: Oct 22, 2025 (4373 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 | 4,740 days (13.0 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 22, 2025. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 73 total · issuer reported no non-accredited investors |
| Exemption claimed | Investment Company Act 3C.7 exclusion; Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; 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: Over $100,000,000 |
| 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) |
| Changes vs prior filing | total sold: $480,723,406 → $484,348,406 investors: 71 → 73 exemption: 3C.7, 06c, 3C → 3C.7, 06b, 3C Compared with the D/A filed Oct 23, 2024 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 73. Typical range: 4–27. "Similar" = Pooled Investment Fund offerings claiming 506(b) filed in the last 5 years (83,801 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| 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 0001567619-23-007527 ↗ SEC file no. 021-205088 · accession 0001169578-24-000162 |
|---|---|
| Raise progress | $480,723,406 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Nov 1, 2013 · Form D filed: Oct 23, 2024 (4009 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 | 4,740 days (13.0 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 | 71 total · issuer reported no non-accredited investors |
| Exemption claimed | Investment Company Act 3C.7 exclusion; Rule 506(c) — general advertising allowed; all investors must be verified accredited; 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: Over $100,000,000 |
| 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 | exemption: 06b, 3C.7 → 3C.7, 06c, 3C Compared with the D/A filed Oct 20, 2023 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $5,000–$100,000. Offering size: Indefinite. Typical range: $500,000–$16,420,250. Investors: 71. Typical range: 2–28. "Similar" = Pooled Investment Fund offerings claiming 506(c) filed in the last 5 years (8,096 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| 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 0001567619-18-004402 ↗ SEC file no. 021-205088 · accession 0001567619-23-007527 |
|---|---|
| Raise progress | $480,723,406 sold of Indefinite offered · Indefinite remaining Sales are cumulative from date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Nov 1, 2013 · Form D filed: Oct 20, 2023 (3640 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 | 4,740 days (13.0 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 | 71 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.7 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: Over $100,000,000 |
| 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 | Harold Schaaff, Director (Oct 20, 2023) |
| Changes vs prior filing | total sold: $314,040,306 → $480,723,406 investors: 95 → 71 Compared with the D/A filed Oct 23, 2018 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 71. Typical range: 4–27. "Similar" = Pooled Investment Fund offerings claiming 506(b) filed in the last 5 years (83,801 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| 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 0001567619-18-004402 ↗ SEC file no. 021-205088 · accession 0001567619-22-018633 |
|---|---|
| Raise progress | $480,473,406 sold of Indefinite offered · Indefinite remaining Sales are cumulative from date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Nov 1, 2013 · Form D filed: Oct 20, 2022 (3275 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 | 4,740 days (13.0 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 | 71 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.7 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: Over $100,000,000 |
| 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 | Harold Schaaff, Director (Oct 20, 2022) |
| Changes vs prior filing | total sold: $314,040,306 → $480,473,406 investors: 95 → 71 Compared with the D/A filed Oct 23, 2018 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 71. Typical range: 4–27. "Similar" = Pooled Investment Fund offerings claiming 506(b) filed in the last 5 years (83,801 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| 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 0001567619-18-004402 ↗ SEC file no. 021-205088 · accession 0001567619-21-018554 |
|---|---|
| Raise progress | $477,973,406 sold of Indefinite offered · Indefinite remaining Sales are cumulative from date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Nov 1, 2013 · Form D filed: Oct 22, 2021 (2912 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 | 4,740 days (13.0 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 | 69 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.7 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: Over $100,000,000 |
| 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 | Harold Schaaff, Director (Oct 22, 2021) |
| Changes vs prior filing | total sold: $314,040,306 → $477,973,406 investors: 95 → 69 Compared with the D/A filed Oct 23, 2018 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 69. Typical range: 4–27. "Similar" = Pooled Investment Fund offerings claiming 506(b) filed in the last 5 years (83,801 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| 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 0001567619-18-004402 ↗ SEC file no. 021-205088 · accession 0001567619-20-018079 |
|---|---|
| Raise progress | $409,006,406 sold of Indefinite offered · Indefinite remaining Sales are cumulative from date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Nov 1, 2013 · Form D filed: Oct 22, 2020 (2547 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 | 4,740 days (13.0 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 | 68 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.7 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: Over $100,000,000 |
| 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 | Harold Schaaff, Director (Oct 22, 2020) |
| Changes vs prior filing | total sold: $314,040,306 → $409,006,406 investors: 95 → 68 Compared with the D/A filed Oct 23, 2018 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 68. Typical range: 4–27. "Similar" = Pooled Investment Fund offerings claiming 506(b) filed in the last 5 years (83,801 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| 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 0001567619-18-004402 ↗ SEC file no. 021-205088 · accession 0001567619-19-019902 |
|---|---|
| Raise progress | $394,981,906 sold of Indefinite offered · Indefinite remaining Sales are cumulative from date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Nov 1, 2013 · Form D filed: Oct 23, 2019 (2182 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 | 4,740 days (13.0 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 | 64 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.7 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: Over $100,000,000 |
| 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 | Harold Schaaff, Director (Oct 23, 2019) |
| Changes vs prior filing | total sold: $314,040,306 → $394,981,906 investors: 95 → 64 Compared with the D/A filed Oct 23, 2018 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 64. Typical range: 4–27. "Similar" = Pooled Investment Fund offerings claiming 506(b) filed in the last 5 years (83,801 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| 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 0001140361-16-083238 ↗ SEC file no. 021-205088 · accession 0001567619-18-004402 |
|---|---|
| Raise progress | $314,040,306 sold of Indefinite offered · Indefinite remaining Sales are cumulative from date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Nov 1, 2013 · Form D filed: Oct 23, 2018 (1817 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 | 4,740 days (13.0 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 | 95 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.7 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: Over $100,000,000 |
| 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: $275,219,860 → $314,040,306 investors: 122 → 95 Compared with the D/A filed Oct 21, 2016 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 95. Typical range: 4–27. "Similar" = Pooled Investment Fund offerings claiming 506(b) filed in the last 5 years (83,801 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| 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 0001140361-16-083238 ↗ SEC file no. 021-205088 · accession 0001140361-17-039256 |
|---|---|
| Raise progress | $304,260,906 sold of Indefinite offered · Indefinite remaining Sales are cumulative from date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Nov 1, 2013 · Form D filed: Oct 23, 2017 (1452 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 | 4,740 days (13.0 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 | 101 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.7 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: Over $100,000,000 |
| 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: $275,219,860 → $304,260,906 investors: 122 → 101 Compared with the D/A filed Oct 21, 2016 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 101. Typical range: 4–27. "Similar" = Pooled Investment Fund offerings claiming 506(b) filed in the last 5 years (83,801 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| 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 0001589363-13-000003 ↗ SEC file no. 021-205088 · accession 0001140361-16-083238 |
|---|---|
| Raise progress | $275,219,860 sold of Indefinite offered · Indefinite remaining Sales are cumulative from date of initial filing on 10/23/2013 |
| Filing timing | Date of first sale: Nov 1, 2013 · Form D filed: Oct 21, 2016 (1085 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 | 4,740 days (13.0 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 | 122 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.7 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: Over $100,000,000 |
| 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: $0 → $275,219,860 investors: 115 → 122 exemption: 06b, 3C, 3C.7 → 06b, 3C.7 Compared with the D filed Oct 23, 2013 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 122. Typical range: 4–27. "Similar" = Pooled Investment Fund offerings claiming 506(b) filed in the last 5 years (83,801 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| 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 0001589363-13-000003 ↗ SEC file no. 021-205088 · accession 0001140361-15-038378 |
|---|---|
| Raise progress | $28,021,460 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Nov 1, 2013 · Form D filed: Oct 23, 2015 (721 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 | 4,740 days (13.0 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 | 112 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.7 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: Over $100,000,000 |
| 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 → $28,021,460 investors: 115 → 112 exemption: 06b, 3C, 3C.7 → 06b, 3C.7 Compared with the D filed Oct 23, 2013 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $50,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 112. Typical range: 4–27. "Similar" = Pooled Investment Fund offerings claiming 506(b) filed in the last 5 years (83,801 filings); ranges are the middle half (25th–75th percentile). No ranking or score. |
| 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 0001589363-13-000003 ↗ SEC file no. 021-205088 · accession 0001140361-14-038864 |
|---|---|
| Raise progress | $221,559,600 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Nov 1, 2013 · Form D filed: Oct 23, 2014 (356 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 | 4,740 days (13.0 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 | 117 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.7 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: Over $100,000,000 |
| 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 → $221,559,600 investors: 115 → 117 exemption: 06b, 3C, 3C.7 → 06b, 3C.7 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. 021-205088 · accession 0001589363-13-000003 |
|---|---|
| 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 may 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 | 115 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.7 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: Over $100,000,000 |
| 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, 2019 → 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 J Schaaff | Director | NY | Oct 23, 2019 → Oct 20, 2023 | 6 other issuers |
| Harold Schaaff | Director | NY | Oct 23, 2013 → Oct 23, 2018 | 6 other issuers |
| Michael Klein | Director | NY | Oct 23, 2013 → Oct 23, 2018 | 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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