Sponsor Check › Gs Gamma › Issuer
Limited Liability Company · organized in DELAWARE · formed Over five years ago · NEW YORK, NY · SEC CIK 1343623
Part of sponsor group: Gs Gamma (2 issuers, 38 filings) · grouped because: shared people, shared management entity, 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 20, 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, 9:15 PM ET.
1 of 1 offering reports sales commissions totalling $3,323,259; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Oct 20, 2026 D/A File 021-83088 | $3,323,259 (est.) | $0 (est.) | $0 | Guggenheim Securities, LLC BrokerCheck CRD 40638 ↗ Guggenheim Investor Services, LLC BrokerCheck CRD 30096 ↗ FocusPoint Private Capital Group, LLC BrokerCheck CRD 122341 ↗ Alternative Asset Investment Management Securities, LLC BrokerCheck CRD 135131 ↗ Blue Sand Securities LLC BrokerCheck CRD 142976 ↗ 16 Points LLC BrokerCheck CRD 277033 ↗ Frontier Solutions BrokerCheck CRD 136102 ↗ McIntyre Capital Partners, LLC BrokerCheck CRD 148521 ↗ |
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 20, 2026 · amends 0000929638-25-003171 ↗ SEC file no. 021-83088 · accession 0000929638-26-003956 |
|---|---|
| Raise progress | $638,597,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Oct 20, 2026 (8237 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 20, 2026. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 75 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 | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: DE, HI, TX, FL, WA, NY, SC, SD, WI, MA, MD, IA, OH, GA, ID, MI, OK, CA, WV, MN, MO, WY, IL, OR, IN, MS, MT, KS, AK, AL, VA, CO, KY, CT, PA, LA, NC, ND, RI, AZ, NH, TN, NJ, DC, NM FocusPoint Private Capital Group, LLC — FINRA BrokerCheck CRD 122341 ↗ Solicits in: DE, HI, TX, MA, MD, IA, ME, ID, MI, UT, MN, MO, IL, IN, MS, MT, AK, AL, VA, AR, NC, ND, NE, RI, AZ, NH, NJ, VT, NM, FL, NV, WA, NY, SC, SD, WI, OH, GA, OK, CA, WV, WY, OR, KS, CO, KY, CT, PA, LA, TN, DC Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ Solicits in: All States 16 Points LLC — FINRA BrokerCheck CRD 277033 ↗ Solicits in: MN, PR, TX, NY, CA Frontier Solutions — FINRA BrokerCheck CRD 136102 ↗ Solicits in: DE, TX, FL, NV, WA, NY, SC, SD, WI, MA, MD, IA, OH, GA, ID, MI, OK, CA, UT, WV, MN, MO, WY, IL, OR, IN, MS, MT, KS, AL, VA, CO, KY, AR, CT, PA, LA, NC, NE, RI, AZ, NH, TN, NJ, VT, DC, NM McIntyre Capital Partners, LLC — FINRA BrokerCheck CRD 148521 ↗ Solicits in: HI, IL, TX, FL, NV, WA, NY, CO, SC, AR, CT, SD, MA, LA, IA, AZ, ID, NJ, CA, UT |
| Money to insiders | Sales commissions: $3,323,259 (est.) · Finder's fees: $0 (est.) · Proceeds to officers, directors, promoters: $0 Manager pays percent of aggregate principal sold to selling agents (Item 12). Item 15 shows referral fees paid thru 6/30/26. Alt. Asset InvestMgt, Blue Sand, Frontier, Guggenheim Sec. and Guggenheim Inv. Svcs are no longer selling agents for the Issuer. |
| Signed by | Bart McDonald, Chief Compliance Officer of the Investment Advisor (Oct 19, 2026) |
| Changes vs prior filing | sales commissions: $3,319,298 → $3,323,259 exemption: 3C.7, 06b, 3C → 06b, 3C, 3C.7 Compared with the D/A filed Aug 25, 2025 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $100,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 75. 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 Aug 25, 2025 · amends 0001343623-23-000002 ↗ SEC file no. 021-83088 · accession 0000929638-25-003171 |
|---|---|
| Raise progress | $638,597,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Aug 25, 2025 (7816 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Aug 25, 2025. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 75 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 | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, ND, NH, NJ, NM, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, VA, WA, WI, WV, WY FocusPoint Private Capital Group, LLC — FINRA BrokerCheck CRD 122341 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ Solicits in: All States 16 Points LLC — FINRA BrokerCheck CRD 277033 ↗ Solicits in: CA, MN, NY, PR, TX Frontier Solutions — FINRA BrokerCheck CRD 136102 ↗ Solicits in: AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY McIntyre Capital Partners, LLC — FINRA BrokerCheck CRD 148521 ↗ Solicits in: AR, AZ, CA, CO, CT, FL, HI, IA, ID, IL, LA, MA, NC, NJ, NV, NY, SC, SD, TX, UT, WA |
| Money to insiders | Sales commissions: $3,319,298 (est.) · Finder's fees: $0 (est.) · Proceeds to officers, directors, promoters: $0 Manager pays percent of aggregate principal sold to selling agents (Item 12). Item 15 shows referral fees paid thru 6/30/25. Alt. Asset InvestMgt, Blue Sand, Frontier, Guggenheim Sec., and Guggenheim Inv. Svcs are no longer selling agents for the Issuer. |
| Signed by | Jennifer Selliers, Chief Compliance Officer of the Investment Advisor (Aug 23, 2025) |
| Changes vs prior filing | sales commissions: $3,306,737 → $3,319,298 exemption: 06b, 3C, 3C.7 → 3C.7, 06b, 3C Compared with the D/A filed Aug 23, 2023 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $100,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 75. 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 Aug 23, 2024 · amends 0001343623-23-000002 ↗ SEC file no. 021-83088 · accession 0001343623-24-000001 |
|---|---|
| Raise progress | $638,597,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Aug 23, 2024 (7449 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Aug 23, 2024. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 75 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 | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, ND, NH, NJ, NM, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, VA, WA, WI, WV, WY FocusPoint Private Capital Group, LLC — FINRA BrokerCheck CRD 122341 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ Solicits in: All States 16 Points LLC — FINRA BrokerCheck CRD 277033 ↗ Solicits in: CA, MN, NY, PR, TX Frontier Solutions — FINRA BrokerCheck CRD 136102 ↗ Solicits in: AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY McIntyre Capital Partners, LLC — FINRA BrokerCheck CRD 148521 ↗ Solicits in: AR, AZ, CA, CO, CT, FL, HI, IA, ID, IL, LA, MA, NC, NJ, NV, NY, SC, SD, TX, UT, WA |
| Money to insiders | Sales commissions: $3,314,483 (est.) · Finder's fees: $0 (est.) · Proceeds to officers, directors, promoters: $0 Manager pays percent of aggregate principal amt sold to selling agents-Item 12. Item 15 lists info from 3/15/09. Alternative Asset InvestMgt, Blue Sand, Frontier, Guggenheim Sec. & Guggenheim Inv. Svcs no longer act as selling agents for Issuer. |
| Signed by | Jennifer Selliers, Chief Compliance Officer of the Investment Advisor (Aug 23, 2024) |
| Changes vs prior filing | sales commissions: $3,306,737 → $3,314,483 Compared with the D/A filed Aug 23, 2023 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $100,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 75. 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 Aug 23, 2023 · amends 0001714078-22-000006 ↗ SEC file no. 021-83088 · accession 0001343623-23-000002 |
|---|---|
| Raise progress | $638,597,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Aug 23, 2023 (7083 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Aug 23, 2023. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 75 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 | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, ND, NH, NJ, NM, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, VA, WA, WI, WV, WY FocusPoint Private Capital Group, LLC — FINRA BrokerCheck CRD 122341 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ Solicits in: All States 16 Points LLC — FINRA BrokerCheck CRD 277033 ↗ Solicits in: CA, IN, MN, NY, PR, TX Frontier Solutions — FINRA BrokerCheck CRD 136102 ↗ Solicits in: AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, NE, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WV, WY McIntyre Capital Partners, LLC — FINRA BrokerCheck CRD 148521 ↗ Solicits in: AZ, CA, CO, CT, FL, HI, IA, ID, IL, MA, NC, NJ, NV, NY, SC, SD, TX, UT, WA |
| Money to insiders | Sales commissions: $3,306,737 (est.) · Finder's fees: $0 (est.) · Proceeds to officers, directors, promoters: $0 Manager pays percent of aggregate principal amt sold to selling agents-Item 12. Item 15 lists info from 3/15/09. Alternative Asset InvestMgt, Blue Sand, Guggenheim Securities & Guggenheim Investor Services no longer act as selling agents for Issuer. |
| Signed by | Jennifer M. Selliers, Chief Compliance Officer of the Investment Advisor (Aug 23, 2023) |
| Changes vs prior filing | sales commissions: $3,240,128 → $3,306,737 Compared with the D/A filed Aug 22, 2022 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $100,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 75. 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 Aug 22, 2022 · amends 0001343623-21-000001 ↗ SEC file no. 021-83088 · accession 0001714078-22-000006 |
|---|---|
| Raise progress | $638,597,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Aug 22, 2022 (6717 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Aug 22, 2022. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 75 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 | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, AL, AZ, CA, CO, CT, DC, FL, GA, HI, IA, ID, IL, IN, KY, MA, MD, MI, MN, MO, MT, NC, NH, NJ, NM, NY, OH, OK, OR, PA, RI, SC, SD, TX, VA, WA, WI, WV, WY FocusPoint Private Capital Group, LLC — FINRA BrokerCheck CRD 122341 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ Solicits in: All States 16 Points LLC — FINRA BrokerCheck CRD 277033 ↗ Solicits in: AK, CA, DE, IN, MI, MN, NV, NY, OK, PR, SC, SD, TX, VA Frontier Solutions — FINRA BrokerCheck CRD 136102 ↗ Solicits in: AL, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, NC, NE, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WV, WY McIntyre Capital Partners, LLC — FINRA BrokerCheck CRD 148521 ↗ Solicits in: AZ, CA, CO, CT, FL, HI, IA, ID, IL, MA, NC, NJ, NV, NY, SC, SD, TN, TX, UT, WA |
| Money to insiders | Sales commissions: $3,240,128 (est.) · Finder's fees: $0 (est.) · Proceeds to officers, directors, promoters: $0 Manager pays percent of aggregate principal amt sold to selling agents-Item 12. Item 15 lists info from 3/15/09. Alternative Asset Invest Mgt, Blue Sand, Guggenheim Securities & Guggenheim Investor Services no longer act as selling agents for Issuer. |
| Signed by | Maria Rosen, Chief Compliance Officer of the Investment Advisor (Aug 22, 2022) |
| Changes vs prior filing | total sold: $638,167,942 → $638,597,942 investors: 74 → 75 sales commissions: $3,226,431 → $3,240,128 Compared with the D/A filed Aug 19, 2021 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $100,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 75. 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 Aug 19, 2021 · amends 0001498898-20-000004 ↗ SEC file no. 021-83088 · accession 0001343623-21-000001 |
|---|---|
| Raise progress | $638,167,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Aug 19, 2021 (6349 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Aug 19, 2021. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 74 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 | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, MA, MD, MI, MN, MO, MT, NC, ND, NE, NH, NJ, NM, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY FocusPoint Private Capital Group, LLC — FINRA BrokerCheck CRD 122341 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ 16 Points LLC — FINRA BrokerCheck CRD 277033 ↗ Solicits in: All States Frontier Solutions — FINRA BrokerCheck CRD 136102 ↗ Solicits in: AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, NC, NE, NJ, NM, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WV, WY McIntyre Capital Partners, LLC — FINRA BrokerCheck CRD 148521 ↗ Solicits in: AZ, CA, FL, HI, IA, NJ, NY, TX, WA |
| Money to insiders | Sales commissions: $3,226,431 (est.) · Finder's fees: $0 (est.) · Proceeds to officers, directors, promoters: $0 Manager pays percent of aggregate principal amt sold to selling agents-Item 12. Item 15 lists info from 3/15/09. Alternative Asset Invest Mgt, Blue Sand, Guggenheim Securities & Guggenheim Investor Services no longer act as selling agents for Issuer. |
| Signed by | Maria Rosen, Chief Compliance Officer of the Investment Advisor (Aug 19, 2021) |
| Changes vs prior filing | sales commissions: $3,197,770 → $3,226,431 Compared with the D/A filed Aug 20, 2020 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $100,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 74. 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 Aug 20, 2020 · amends 0001343623-19-000001 ↗ SEC file no. 021-83088 · accession 0001498898-20-000004 |
|---|---|
| Raise progress | $638,167,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Aug 20, 2020 (5985 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Aug 20, 2020. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 74 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 | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, MA, MD, MI, MN, MO, MT, NC, ND, NE, NH, NJ, NM, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY FocusPoint Private Capital Group, LLC — FINRA BrokerCheck CRD 122341 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ Solicits in: All States 16 Points LLC — FINRA BrokerCheck CRD 277033 ↗ Solicits in: All States Frontier Solutions — FINRA BrokerCheck CRD 136102 ↗ Solicits in: AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, NC, NE, NJ, NM, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WV, WY |
| Money to insiders | Sales commissions: $3,197,770 (est.) · Finder's fees: $0 (est.) · Proceeds to officers, directors, promoters: $0 Manager pays a percent of aggregate principal amt sold to selling agents-Item 12. Item 15 lists info from 3/15/09. Alternative Asset Investment Management, Blue Sand and Guggenheim Securities, LLC no longer act as selling agents for Issuer. |
| Signed by | Arik Hirschfeld, Chief Compliance Officer of the Investment Advisor (Aug 20, 2020) |
| Changes vs prior filing | total sold: $533,167,942 → $638,167,942 investors: 73 → 74 sales commissions: $3,167,761 → $3,197,770 Compared with the D/A filed Aug 20, 2019 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $100,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 74. 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 Aug 20, 2019 · amends 0001343623-18-000001 ↗ SEC file no. 021-83088 · accession 0001343623-19-000001 |
|---|---|
| Raise progress | $533,167,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Aug 20, 2019 (5619 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Aug 20, 2019. 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 | 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 | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, MA, MD, MI, MN, MO, MT, NC, ND, NE, NH, NJ, NM, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY FocusPoint Private Capital Group, LLC — FINRA BrokerCheck CRD 122341 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Solicits in: IL, NV Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ Solicits in: All States 16 Points LLC — FINRA BrokerCheck CRD 277033 ↗ Solicits in: All States |
| Money to insiders | Sales commissions: $3,167,761 (est.) · Finder's fees: $0 (est.) · Proceeds to officers, directors, promoters: $0 Manager pays a percent of aggregate principal amt of Interests sold to selling agents-Item 12. Current offering began prior to 3/15/09; Item 15 lists info from such date. As of 6/30/15 Guggenheim Securities, LLC no longer acts as selling agent for Issuer. · As of 8/19/19 Alternative Asset Investment Management Securities, LLC no longer acts as selling agent for Issuer. |
| Signed by | Arik Hirschfeld, Chief Compliance Officer of the Investment Advisor (Aug 20, 2019) |
| Changes vs prior filing | total sold: $527,977,942 → $533,167,942 investors: 71 → 73 sales commissions: $3,130,915 → $3,167,761 Compared with the D/A filed Aug 20, 2018 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $100,000. 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 Aug 20, 2018 · amends 0001343623-17-000001 ↗ SEC file no. 021-83088 · accession 0001343623-18-000001 |
|---|---|
| Raise progress | $527,977,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Aug 20, 2018 (5254 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Aug 20, 2018. 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 | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, MA, MD, MI, MN, MT, NC, ND, NE, NH, NJ, NM, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY FocusPoint Private Capital Group, LLC — FINRA BrokerCheck CRD 122341 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Solicits in: CA, CO, CT, DC, DE, FL, GA, IL, KY, MA, MI, MN, NC, NH, NJ, NM, NV, NY, OH, OR, PA, RI, TX, VA, WA Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY |
| Money to insiders | Sales commissions: $3,130,915 (est.) · Finder's fees: $0 (est.) · Proceeds to officers, directors, promoters: $0 Manager pays a percent of aggregate principal amt of Interests sold to selling agents-Item 12. Current offering began prior to 3/15/09; Item 15 lists info from such date. As of 6/30/15 Guggenheim Securities, LLC no longer acts as selling agent for Issuer. |
| Signed by | Arik Hirschfeld, Chief Compliance Officer of the Investment Advisor (Aug 20, 2018) |
| Changes vs prior filing | total sold: $514,577,942 → $527,977,942 investors: 70 → 71 sales commissions: $3,001,312 → $3,130,915 Compared with the D/A filed Aug 18, 2017 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $100,000. 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 Aug 18, 2017 · amends 0001343623-16-000002 ↗ SEC file no. 021-83088 · accession 0001343623-17-000001 |
|---|---|
| Raise progress | $514,577,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Aug 18, 2017 (4887 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Aug 18, 2017. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 70 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 | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, MA, MD, MI, MN, MO, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY FocusPoint Private Capital Group, LLC — FINRA BrokerCheck CRD 122341 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Solicits in: AL, AZ, CA, CO, CT, DC, DE, FL, GA, IL, KY, MA, MD, MI, MN, NC, NJ, NM, NV, NY, OH, OR, PA, RI, TX, UT, VA, WA, WY Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY |
| Money to insiders | Sales commissions: $3,001,312 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Manager pays a percent of aggregate principal amt of Interests sold to selling agents-Item 12. Current offering began prior to 3/15/09; Item 15 lists info from such date. As of 6/30/15 Guggenheim Securities, LLC no longer acts as selling agent for Issuer. |
| Signed by | Arik Hirschfeld, Chief Compliance Officer of the Investment Advisor (Aug 18, 2017) |
| Changes vs prior filing | total sold: $477,877,942 → $514,577,942 investors: 64 → 70 sales commissions: $2,952,812 → $3,001,312 Compared with the D/A filed Aug 18, 2016 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $100,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 70. 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 Aug 18, 2016 · amends 0001343623-15-000001 ↗ SEC file no. 021-83088 · accession 0001343623-16-000002 |
|---|---|
| Raise progress | $477,877,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Aug 18, 2016 (4522 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Aug 18, 2016. 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 exclusion; Investment Company Act 3C.7 exclusion |
| Minimum investment accepted | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, AL, AZ, CA, CO, CT, DE, FL, GA, IA, ID, IL, KS, KY, MA, MD, MI, MO, MT, NC, NE, NH, NJ, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, WA, WI, WY FocusPoint Private Capital Group, LLC — FINRA BrokerCheck CRD 122341 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Solicits in: AL, AZ, CA, CO, CT, DC, DE, FL, GA, IL, KY, MA, MD, MI, MN, NC, NJ, NM, NV, NY, OH, OR, PA, RI, TX, VA, WA, WY Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY |
| Money to insiders | Sales commissions: $2,952,812 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Manager pays a percent of aggregate principal amt of Interests sold to selling agents-Item 12. Current offering began prior to 3/15/09; Item 15 lists info from such date. As of 6/30/15 Guggenheim Securities, LLC no longer acts as selling agent for Issuer. |
| Signed by | George Sykes, Member of the Manager (Aug 18, 2016) |
| Changes vs prior filing | total sold: $470,477,942 → $477,877,942 investors: 63 → 64 sales commissions: $2,941,428 → $2,952,812 Compared with the D/A filed Aug 18, 2015 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $100,000. 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 Aug 18, 2015 · amends 0001343623-14-000002 ↗ SEC file no. 021-83088 · accession 0001343623-15-000001 |
|---|---|
| Raise progress | $470,477,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Aug 18, 2015 (4156 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Aug 18, 2015. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 63 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 | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, AL, AZ, CA, CO, CT, DE, FL, GA, IA, IL, KS, KY, MA, MD, MI, MO, MT, NC, NE, NH, NJ, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WY FocusPoint Private Capital Group, LLC — FINRA BrokerCheck CRD 122341 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Solicits in: AL, AZ, CA, CO, CT, DC, DE, FL, GA, IL, KY, MA, MI, MN, NC, NJ, NM, NV, NY, OH, OR, PA, RI, TX, VA, WA, WY Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY |
| Money to insiders | Sales commissions: $2,941,428 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Manager pays a percent of aggregate principal amt of Interests sold to selling agents-Item 12. Current offering began prior to 3/15/09; Item 15 lists info from such date. As of 6/30/15 Guggenheim Securities, LLC no longer acts as selling agent for Issuer. |
| Signed by | George Sykes, Member of the Manager (Aug 18, 2015) |
| Changes vs prior filing | total sold: $463,277,942 → $470,477,942 sales commissions: $2,811,710 → $2,941,428 Compared with the D/A filed Aug 18, 2014 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $100,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 63. 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 Aug 18, 2014 · amends 0001343623-13-000002 ↗ SEC file no. 021-83088 · accession 0001343623-14-000002 |
|---|---|
| Raise progress | $463,277,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Aug 18, 2014 (3791 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Aug 18, 2014. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 63 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 | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, AL, CA, CO, CT, DC, DE, FL, GA, IA, IL, KY, MA, MD, MI, MO, MT, NC, NE, NJ, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, WA, WI, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Solicits in: CA, CO, CT, DE, FL, GA, IL, KY, MA, MI, MN, NC, NJ, NV, NY, OH, OR, PA, RI, TX, VA, WA Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ Solicits in: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WY Forbes Private Capital Group — FINRA BrokerCheck CRD 122341 ↗ Solicits in: All States |
| Money to insiders | Sales commissions: $2,811,710 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The Manager pays a certain percentage of the aggregate principal amount of Interests sold to the placement agent - see item 12. The current offering commenced prior to 3/15/09; item 15 reflects the requested information commencing from such date. |
| Signed by | George Sykes, Member of the Manager (Aug 18, 2014) |
| Changes vs prior filing | total sold: $388,227,942 → $463,277,942 investors: 60 → 63 sales commissions: $2,345,727 → $2,811,710 exemption: 06, 3C, 3C.7 → 06b, 3C, 3C.7 Compared with the D/A filed Aug 16, 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 Aug 16, 2013 · amends 0001343623-13-000001 ↗ SEC file no. 021-83088 · accession 0001343623-13-000002 |
|---|---|
| Raise progress | $388,227,942 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Aug 16, 2013 (3424 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Aug 16, 2013. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 60 total · issuer reported no non-accredited investors |
| Exemption claimed | 06; Investment Company Act 3C exclusion; Investment Company Act 3C.7 exclusion |
| Minimum investment accepted | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, AL, CA, CO, CT, DC, DE, FL, GA, IA, IL, KY, MA, MD, MI, MO, MT, NC, NE, NJ, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, WA, WI, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Solicits in: CA, CT, FL, GA, IL, KY, MA, MI, MN, NC, NJ, NV, NY, OH, OR, PA, RI, TX, VA, WA Blue Sand Securities LLC — FINRA BrokerCheck CRD 142976 ↗ Solicits in: AZ, CA, CO, CT, DC, DE, FL, GA, HI, IL, IN, KY, LA, MA, MD, MI, MN, MO, NC, NH, NJ, NV, NY, OH, OK, PA, RI, SC, TN, TX, VA, WA, WI, WY Forbes Private Capital Group — FINRA BrokerCheck CRD 122341 ↗ Solicits in: All States |
| Money to insiders | Sales commissions: $2,345,727 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The Manager pays a certain percentage of the aggregate principal amount of Interests sold to the placement agent - see item 12. The current offering commenced prior to 3/15/09; item 15 reflects the requested information commencing from such date. |
| Signed by | George Sykes, Member of the Manager (Aug 16, 2013) |
| Changes vs prior filing | total sold: $288,295,754 → $388,227,942 investors: 53 → 60 sales commissions: $860,852 → $2,345,727 Compared with the D/A filed Mar 11, 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 Mar 11, 2013 · amends 0001207900-12-000006 ↗ SEC file no. 021-83088 · accession 0001343623-13-000001 |
|---|---|
| Raise progress | $288,295,754 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Mar 11, 2013 (3266 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Mar 11, 2013. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 53 total · issuer reported no non-accredited investors |
| Exemption claimed | 06; Investment Company Act 3C exclusion; Investment Company Act 3C.7 exclusion |
| Minimum investment accepted | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, AL, CA, CO, CT, DC, DE, FL, GA, IL, KY, MA, MD, MI, MO, MT, NC, NE, NJ, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, WA, WI, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Solicits in: CA, CT, FL, IL, KY, MA, MI, NC, NJ, NV, NY, OH, OR, PA, RI, TX, VA, WA |
| Money to insiders | Sales commissions: $860,852 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The Manager pays a certain percentage of the aggregate principal amount of Interests sold to the placement agent - see item 12. The current offering commenced prior to 3/15/09; item 15 reflects the requested information commencing from such date. |
| Signed by | George Sykes, Member of the Manager (Mar 11, 2013) |
| Changes vs prior filing | total sold: $245,420,754 → $288,295,754 investors: 46 → 53 sales commissions: $576,185 → $860,852 Compared with the D/A filed Mar 9, 2012 (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 9, 2012 · amends 0001118870-11-000010 ↗ SEC file no. 021-83088 · accession 0001207900-12-000006 |
|---|---|
| Raise progress | $245,420,754 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Mar 9, 2012 (2899 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Mar 9, 2012. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 46 total · issuer reported no non-accredited investors |
| Exemption claimed | 06; Investment Company Act 3C exclusion; Investment Company Act 3C.7 exclusion |
| Minimum investment accepted | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, CA, CO, CT, DC, DE, FL, GA, IL, MA, MD, MI, MO, NC, NJ, NY, OH, OK, PA, RI, SC, SD, TN, TX, VA, WA, WI, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Solicits in: CA, CT, FL, IL, MA, NC, NJ, NV, NY, OR, PA, RI, TX, VA, WA |
| Money to insiders | Sales commissions: $576,185 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The Manager pays a certain percentage of the aggregate principal amount of Interests sold to the placement agent - see item 12. The current offering commenced prior to 3/15/09; item 15 reflects the requested information commencing from such date. |
| Signed by | George Sykes, Member of the Manager (Mar 9, 2012) |
| Changes vs prior filing | total sold: $214,170,754 → $245,420,754 investors: 43 → 46 sales commissions: $1,342,921 → $576,185 Compared with the D/A filed Mar 11, 2011 (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 11, 2011 · amends 0001343623-10-000001 ↗ SEC file no. 021-83088 · accession 0001118870-11-000010 |
|---|---|
| Raise progress | $214,170,754 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2004 · Form D filed: Mar 11, 2011 (2535 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 | 8,241 days (22.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Mar 11, 2011. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 43 total · issuer reported no non-accredited investors |
| Exemption claimed | 06; Investment Company Act 3C exclusion; Investment Company Act 3C.7 exclusion |
| Minimum investment accepted | $100,000 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Solicits in: AK, CA, CO, CT, DC, DE, FL, GA, IL, MA, MD, MI, MO, NC, NJ, NY, OH, OK, PA, RI, SC, SD, TN, TX, VA, WA, WI, WY Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ Solicits in: CA, CT, FL, IL, MA, NC, NJ, NV, NY, OR, PA, RI, TX, VA, WA |
| Money to insiders | Sales commissions: $1,342,921 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The Manager pays a certain percentage of the aggregate principal amount of Interests sold to the placement agent - see item 12. The current offering commenced prior to 3/15/09; item 15 reflects the requested information commencing from such date. |
| Signed by | George Sykes, Member of the Manager (Mar 11, 2011) |
| Changes vs prior filing | total sold: $106,295,754 → $214,170,754 investors: 29 → 43 minimum investment: $0 → $100,000 sales commissions: $608,381 → $1,342,921 Compared with the D/A filed Mar 11, 2010 (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 11, 2010 · amends 0001343728-09-000004 ↗ SEC file no. 021-83088 · accession 0001343623-10-000001 |
|---|---|
| Raise progress | $106,295,754 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2005 · Form D filed: Mar 11, 2010 (1714 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 | 7,785 days (21.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Mar 11, 2010. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 29 total · issuer reported no non-accredited investors |
| Exemption claimed | 06; Investment Company Act 3C exclusion; Investment Company Act 3C.7 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Securities, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Investor Services, LLC — FINRA BrokerCheck CRD 30096 ↗ Alternative Asset Investment Management Securities, LLC — FINRA BrokerCheck CRD 135131 ↗ |
| Money to insiders | Sales commissions: $608,381 (est.) · Finder's fees: $0 (est.) · Proceeds to officers, directors, promoters: $0 The Manager pays a certain percentage of the aggregate principal amount of Interests sold to the placement agent - see item 12. The current offering commenced prior to 3/15/09; item 15 reflects the requested information commencing from such date. |
| Signed by | George Sykes, Member of the Manager (Mar 11, 2010) |
| Changes vs prior filing | total sold: $75,776,938 → $106,295,754 investors: 23 → 29 sales commissions: $0 → $608,381 Compared with the D/A filed Mar 13, 2009 (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 13, 2009 · amends 9999999997-05-045655 ↗ SEC file no. 021-83088 · accession 0001343728-09-000004 |
|---|---|
| Raise progress | $75,776,938 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2005 · Form D filed: Mar 13, 2009 (1351 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 | 7,785 days (21.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Mar 13, 2009. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 23 total · issuer reported no non-accredited investors |
| Exemption claimed | 06; Investment Company Act 3C exclusion; Investment Company Act 3C.7 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Pooled investment fund interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Guggenheim Capital Markets, LLC — FINRA BrokerCheck CRD 40638 ↗ Solicits in: All States Guggenheim Securities, LLC — FINRA BrokerCheck CRD 30096 ↗ |
| Money to insiders | Sales commissions: $0 (est.) · Finder's fees: $0 (est.) · Proceeds to officers, directors, promoters: $0 The Manager pays a certain percentage of the aggregate principal amount of Interests sold to the placement agent - see item 12. The current offering commenced prior to 3/15/09; item 15 reflects the requested information commencing from such date. |
| Signed by | George Sykes, Member of the Manager (Mar 13, 2009) |
| 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 20, 2026.
| Name | Relationship | Address state | On filings | Also listed on |
|---|---|---|---|---|
| GS Gamma Advisors, LLC entity | Executive Officer Investment Advisor | NY | Mar 13, 2009 → Oct 20, 2026 | 1 other issuer |
| GS Gamma Management, LLC entity | Executive Officer Manager | NY | Mar 13, 2009 → Oct 20, 2026 | 1 other issuer |
| George Sykes | Executive Officer Member of the Manager | NY | Mar 13, 2009 → Oct 20, 2026 | 1 other issuer |
| GPFT Holdco, LLC entity | Executive Officer Member of the Manager | IL | Mar 11, 2010 | 1 other issuer |
| Guggenheim Partners, LLC entity | Executive Officer Member of the Manager | NY | Mar 13, 2009 | 8 other issuers |
Executive officers, directors and promoters as self-reported by the issuer. Licensed persons: FINRA BrokerCheck ↗ · SEC IAPD ↗.
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