Sponsor Check › Mackay Municipal › Issuer
Limited Partnership · organized in DELAWARE · formed Over five years ago · New York, NY · SEC CIK 1769478
Part of sponsor group: Mackay Municipal (47 issuers, 340 filings) · grouped because: shared people, shared management entity, same business address, similar issuer names · confidence 93% · 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: Oct 23, 2026, 8:13 PM ET
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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 $34,500,000; 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 22, 2026 D/A File 021-334012 | $34,500,000 (est.) | $0 | $0 (Continued from Item 15) the placement agent (outside the Issuer) in addition to (and not deducted from) investment amounts; the amount of such fees are unknown to the Issuer and the Investment Manager. | NYLIFE Distributors, LLC BrokerCheck CRD 35350 ↗ Merrill Lynch, Pierce, Fenner & Smith Incorporated BrokerCheck CRD 7691 ↗ Morgan Stanley Smith Barney LLC BrokerCheck CRD 149777 ↗ UBS Financial Services Inc. BrokerCheck CRD 8174 ↗ RBC Capital Markets, LLC BrokerCheck CRD 31194 ↗ iCapital Markets LLC BrokerCheck CRD 118219 ↗ Rockefeller Financial LLC BrokerCheck CRD 291361 ↗ Wells Fargo Advisors Financial Network, LLC BrokerCheck CRD 11025 ↗ Wells Fargo Clearing Services, LLC BrokerCheck CRD 19616 ↗ |
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 0001769478-25-000003 ↗ SEC file no. 021-334012 · accession 0001769478-26-000001 |
|---|---|
| Raise progress | $1,067,139,319 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2019 · Form D filed: Oct 22, 2026 (2761 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 | 2,763 days (7.6 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 | 1,667 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 | $250,000 |
| Securities offered | Pooled investment fund interests; Other: Limited Partnership Interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | NYLIFE Distributors, LLC — FINRA BrokerCheck CRD 35350 ↗ Solicits in: All States Merrill Lynch, Pierce, Fenner & Smith Incorporated — FINRA BrokerCheck CRD 7691 ↗ Solicits in: All States Morgan Stanley Smith Barney LLC — FINRA BrokerCheck CRD 149777 ↗ Solicits in: All States UBS Financial Services Inc. — FINRA BrokerCheck CRD 8174 ↗ Solicits in: All States RBC Capital Markets, LLC — FINRA BrokerCheck CRD 31194 ↗ Solicits in: All States iCapital Markets LLC — FINRA BrokerCheck CRD 118219 ↗ Solicits in: All States Rockefeller Financial LLC — FINRA BrokerCheck CRD 291361 ↗ Solicits in: All States Wells Fargo Advisors Financial Network, LLC — FINRA BrokerCheck CRD 11025 ↗ Solicits in: All States Wells Fargo Clearing Services, LLC — FINRA BrokerCheck CRD 19616 ↗ Solicits in: All States |
| Money to insiders | Sales commissions: $34,500,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The Investment Manager of the Issuer shares a portion of its management fee received from the Issuer with one or more of the Issuer's placement agents. Such placement agents may receive other fees (e.g., sales loads) payable directly to · (Continued from Item 15) the placement agent (outside the Issuer) in addition to (and not deducted from) investment amounts; the amount of such fees are unknown to the Issuer and the Investment Manager. |
| Signed by | Rene A. Bustamante, Executive Managing Director of the Investment Manager (Oct 21, 2026) |
| Changes vs prior filing | total sold: $1,056,289,319 → $1,067,139,319 investors: 1663 → 1667 sales commissions: $31,000,000 → $34,500,000 Compared with the D/A filed Oct 22, 2025 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $250,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 1667. 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 0001137439-24-001450 ↗ SEC file no. 021-334012 · accession 0001769478-25-000003 |
|---|---|
| Raise progress | $1,056,289,319 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2019 · Form D filed: Oct 22, 2025 (2396 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 | 2,763 days (7.6 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 | 1,663 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 | $250,000 |
| Securities offered | Pooled investment fund interests; Other: Limited Partnership Interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | NYLIFE Distributors, LLC — FINRA BrokerCheck CRD 35350 ↗ Solicits in: All States Merrill Lynch, Pierce, Fenner & Smith Incorporated — FINRA BrokerCheck CRD 7691 ↗ Solicits in: All States Morgan Stanley Smith Barney LLC — FINRA BrokerCheck CRD 149777 ↗ Solicits in: All States UBS Financial Services Inc. — FINRA BrokerCheck CRD 8174 ↗ Solicits in: All States RBC Capital Markets, LLC — FINRA BrokerCheck CRD 31194 ↗ Solicits in: All States iCapital Markets LLC — FINRA BrokerCheck CRD 118219 ↗ Solicits in: All States Rockefeller Financial LLC — FINRA BrokerCheck CRD 291361 ↗ Solicits in: All States Wells Fargo Advisors Financial Network, LLC — FINRA BrokerCheck CRD 11025 ↗ Solicits in: All States Wells Fargo Clearing Services, LLC — FINRA BrokerCheck CRD 19616 ↗ Solicits in: All States |
| Money to insiders | Sales commissions: $31,000,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The Investment Manager of the Issuer shares a portion of its management fee received from the Issuer with one or more of the Issuer's placement agents. Such placement agents may receive other fees (e.g., sales loads) payable directly to · (Continued from Item 15) the placement agent (outside the Issuer) in addition to (and not deducted from) investment amounts; the amount of such fees are unknown to the Issuer and the Investment Manager. |
| Signed by | Rene A. Bustamante, Executive Managing Director of the Investment Manager (Oct 22, 2025) |
| Changes vs prior filing | total sold: $1,047,094,320 → $1,056,289,319 investors: 1658 → 1663 sales commissions: $27,000,000 → $31,000,000 Compared with the D/A filed Oct 22, 2024 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $250,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 1663. 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, 2024 · amends 0001137439-24-000698 ↗ SEC file no. 021-334012 · accession 0001137439-24-001450 |
|---|---|
| Raise progress | $1,047,094,320 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2019 · Form D filed: Oct 22, 2024 (2031 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 | 2,763 days (7.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 22, 2024. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 1,658 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 | $250,000 |
| Securities offered | Pooled investment fund interests; Other: Limited Partnership Interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | NYLIFE Distributors, LLC — FINRA BrokerCheck CRD 35350 ↗ Solicits in: All States Merrill Lynch, Pierce, Fenner & Smith Incorporated — FINRA BrokerCheck CRD 7691 ↗ Solicits in: All States Morgan Stanley Smith Barney LLC — FINRA BrokerCheck CRD 149777 ↗ Solicits in: All States UBS Financial Services Inc. — FINRA BrokerCheck CRD 8174 ↗ Solicits in: All States RBC Capital Markets, LLC — FINRA BrokerCheck CRD 31194 ↗ Solicits in: All States iCapital Markets LLC — FINRA BrokerCheck CRD 118219 ↗ Solicits in: All States Rockefeller Financial LLC — FINRA BrokerCheck CRD 291361 ↗ Solicits in: All States |
| Money to insiders | Sales commissions: $27,000,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The Investment Manager of the Issuer shares a portion of its management fee received from the Issuer with one or more of the Issuer's placement agents. Such placement agents may receive other fees (e.g., sales loads) payable directly to · (Continued from Item 15) the placement agent (outside the Issuer) in addition to (and not deducted from) investment amounts; the amount of such fees are unknown to the Issuer and the Investment Manager. |
| Signed by | Rene A. Bustamante, Executive Managing Director of the Investment Manager (Oct 22, 2024) |
| Changes vs prior filing | total sold: $1,035,327,955 → $1,047,094,320 investors: 1652 → 1658 sales commissions: $25,000,000 → $27,000,000 Compared with the D/A filed Mar 6, 2024 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $250,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 1658. 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 Mar 6, 2024 · amends 0001567619-23-004498 ↗ SEC file no. 021-334012 · accession 0001137439-24-000698 |
|---|---|
| Raise progress | $1,035,327,955 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Apr 1, 2019 · Form D filed: Mar 6, 2024 (1801 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 | 2,763 days (7.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Mar 6, 2024. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 1,652 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 | $250,000 |
| Securities offered | Pooled investment fund interests; Other: Limited Partnership Interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | NYLIFE Distributors, LLC — FINRA BrokerCheck CRD 35350 ↗ Solicits in: All States Merrill Lynch, Pierce, Fenner & Smith Incorporated — FINRA BrokerCheck CRD 7691 ↗ Solicits in: All States Morgan Stanley Smith Barney LLC — FINRA BrokerCheck CRD 149777 ↗ Solicits in: All States UBS Financial Services Inc. — FINRA BrokerCheck CRD 8174 ↗ Solicits in: All States RBC Capital Markets, LLC — FINRA BrokerCheck CRD 31194 ↗ Solicits in: All States iCapital Securities, LLC — FINRA BrokerCheck CRD 171061 ↗ Solicits in: All States Rockefeller Financial LLC — FINRA BrokerCheck CRD 291361 ↗ Solicits in: All States First Republic Bank Securities Company, LLC — FINRA BrokerCheck CRD 105108 ↗ Solicits in: All States |
| Money to insiders | Sales commissions: $25,000,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The Investment Manager of the Issuer shares a portion of its management fee received from the Issuer with one or more of the Issuer's placement agents. Such placement agents may receive other fees (e.g., sales loads) payable directly to · (Continued from Item 15) the placement agent (outside the Issuer) in addition to (and not deducted from) investment amounts; the amount of such fees are unknown to the Issuer and the Investment Manager. |
| Signed by | Rene A. Bustamante, Executive Managing Director of the Investment Manager (Mar 5, 2024) |
| Changes vs prior filing | total sold: $997,412,455 → $1,035,327,955 investors: 1612 → 1652 sales commissions: $18,800,000 → $25,000,000 exemption: 06b, 3C.7 → 06b, 3C, 3C.7 Compared with the D/A filed Mar 6, 2023 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $250,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 1652. 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 Mar 6, 2023 · amends 0001567619-22-006360 ↗ SEC file no. 021-334012 · accession 0001567619-23-004498 |
|---|---|
| Raise progress | $997,412,455 sold of Indefinite offered · Indefinite remaining The Investment Manager of the Issuer shares a portion of its management fee received from the Issuer with one or more of the Issuer's placement agents. Such placement agents may receive other fees (e.g., sales loads) payable directly to |
| Filing timing | Date of first sale: Apr 1, 2019 · Form D filed: Mar 6, 2023 (1435 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 | 2,763 days (7.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Mar 6, 2023. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 1,612 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 | $250,000 |
| Securities offered | Pooled investment fund interests; Other: Limited Partnership Interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | NYLIFE Distributors, LLC — FINRA BrokerCheck CRD 35350 ↗ Solicits in: All States Merrill Lynch, Pierce, Fenner & Smith Incorporated — FINRA BrokerCheck CRD 7691 ↗ Solicits in: All States iCapital Securities, LLC — FINRA BrokerCheck CRD 171061 ↗ Solicits in: All States First Republic Bank Securities Company, LLC — FINRA BrokerCheck CRD 105108 ↗ Solicits in: All States UBS Financial Services Inc. — FINRA BrokerCheck CRD 8174 ↗ Solicits in: All States Morgan Stanley Smith Barney LLC — FINRA BrokerCheck CRD 149777 ↗ Solicits in: All States RBC Capital Markets, LLC — FINRA BrokerCheck CRD 31194 ↗ Solicits in: All States |
| Money to insiders | Sales commissions: $18,800,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 (Continued from Item 15) the placement agent (outside the Issuer) in addition to (and not deducted from) investment amounts; the amount of such fees are unknown to the Issuer and the Investment Manager. |
| Signed by | Rene A. Bustamante, Executive Managing Director of the Investment Manager (Mar 6, 2023) |
| Changes vs prior filing | total sold: $965,232,455 → $997,412,455 investors: 1553 → 1612 sales commissions: $14,500,000 → $18,800,000 Compared with the D/A filed Mar 4, 2022 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $250,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 1612. 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 Mar 4, 2022 · amends 0001567619-21-005637 ↗ SEC file no. 021-334012 · accession 0001567619-22-006360 |
|---|---|
| Raise progress | $965,232,455 sold of Indefinite offered · Indefinite remaining The figure has been calculated from inception as of the filing date. |
| Filing timing | Date of first sale: Apr 1, 2019 · Form D filed: Mar 4, 2022 (1068 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 | 2,763 days (7.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Mar 4, 2022. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 1,553 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 | $250,000 |
| Securities offered | Pooled investment fund interests; Other: Limited Partnership Interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Merrill Lynch, Pierce, Fenner & Smith Incorporated — FINRA BrokerCheck CRD 7691 ↗ Solicits in: All States NYLIFE Distributors, LLC — FINRA BrokerCheck CRD 35350 ↗ Solicits in: All States Morgan Stanley & Co LLC — FINRA BrokerCheck CRD 8209 ↗ Solicits in: All States iCapital Securities, LLC — FINRA BrokerCheck CRD 171061 ↗ Solicits in: All States UBS Securities LLC — FINRA BrokerCheck CRD 7654 ↗ Solicits in: All States RBC Capital Markets, LLC — FINRA BrokerCheck CRD 31194 ↗ Solicits in: All States First Republic Securities Company, LLC — FINRA BrokerCheck CRD 105108 ↗ Solicits in: All States |
| Money to insiders | Sales commissions: $14,500,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | John Loffredo, Executive Managing Director of MacKay Shields, LLC (Feb 25, 2022) |
| Changes vs prior filing | total sold: $788,267,942 → $965,232,455 investors: 1375 → 1553 sales commissions: $8,600,000 → $14,500,000 Compared with the D/A filed Mar 4, 2021 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $250,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 1553. 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 Mar 4, 2021 · amends 0001567619-20-005574 ↗ SEC file no. 021-334012 · accession 0001567619-21-005637 |
|---|---|
| Raise progress | $788,267,942 sold of Indefinite offered · Indefinite remaining The figure has been calculated from inception as of the filing date. |
| Filing timing | Date of first sale: Apr 1, 2019 · Form D filed: Mar 4, 2021 (703 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 | 2,763 days (7.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Mar 4, 2021. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 1,375 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 | $250,000 |
| Securities offered | Pooled investment fund interests; Other: Limited Partnership Interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Merrill Lynch, Pierce, Fenner & Smith Incorporated — FINRA BrokerCheck CRD 7691 ↗ Solicits in: All States NYLIFE Distributors, LLC — FINRA BrokerCheck CRD 35350 ↗ Solicits in: All States Morgan Stanley & Co LLC — FINRA BrokerCheck CRD 8209 ↗ Solicits in: All States iCapital Securities, LLC — FINRA BrokerCheck CRD 171061 ↗ Solicits in: All States UBS Securities LLC — FINRA BrokerCheck CRD 7654 ↗ Solicits in: All States RBC Capital Markets, LLC — FINRA BrokerCheck CRD 31194 ↗ Solicits in: All States |
| Money to insiders | Sales commissions: $8,600,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | John Loffredo, Executive Managing Director of MacKay Shields, LLC (Mar 1, 2021) |
| Changes vs prior filing | total sold: $629,143,693 → $788,267,942 investors: 1192 → 1375 sales commissions: $3,600,000 → $8,600,000 Compared with the D/A filed Mar 4, 2020 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $250,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 1375. 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 Mar 4, 2020 · amends 0001567619-19-006000 ↗ SEC file no. 021-334012 · accession 0001567619-20-005574 |
|---|---|
| Raise progress | $629,143,693 sold of Indefinite offered · Indefinite remaining The figure has been calculated from inception as of the filing date. |
| Filing timing | Date of first sale: Apr 1, 2019 · Form D filed: Mar 4, 2020 (338 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 | 2,763 days (7.6 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Mar 4, 2020. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 1,192 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 | $250,000 |
| Securities offered | Pooled investment fund interests; Other: Limited Partnership Interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Merrill Lynch, Pierce, Fenner & Smith Incorporated — FINRA BrokerCheck CRD 7691 ↗ Solicits in: All States Altegris Investments LLC — FINRA BrokerCheck CRD 8258 ↗ Solicits in: All States Morgan Stanley & Co LLC — FINRA BrokerCheck CRD 8209 ↗ Solicits in: All States |
| Money to insiders | Sales commissions: $3,600,000 (est.) · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Robert DiMella, Executive Managing Director of Investment Manager (Feb 25, 2020) |
| Changes vs prior filing | total sold: $0 → $629,143,693 investors: 0 → 1192 sales commissions: $0 → $3,600,000 Compared with the D filed Mar 4, 2019 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $250,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 1192. 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 filed Mar 4, 2019 SEC file no. 021-334012 · accession 0001567619-19-006000 |
|---|---|
| Raise progress | $0 sold of Indefinite offered · Indefinite remaining The figure has been calculated as of the filing date. |
| Filing timing | Date of first sale: Yet to occur · Form D filed: Mar 4, 2019 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 | 0 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 | $250,000 |
| Securities offered | Pooled investment fund interests; Other: Limited Partnership Interests |
| Industry / issuer size | Pooled Investment Fund (Other Investment Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | Merrill Lynch, Pierce, Fenner & Smith Incorporated — FINRA BrokerCheck CRD 7691 ↗ Solicits in: All States |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Robert DiMella, Executive Managing Director of Investment Manager (Feb 22, 2019) |
| Market context | Minimum investment: $250,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 0. 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 |
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 |
|---|---|---|---|---|
| John M. Loffredo | Executive Officer Executive Managing Director of MacKay Shields LLC | NJ | Mar 4, 2019 → Oct 22, 2026 | 1 other issuer |
| MacKay Municipal Managers Opportunities Allocation GP LLC entity | Promoter General Partner of the Issuer | NY | Mar 4, 2019 → Oct 22, 2026 | 2 other issuers |
| MacKay Shields LLC entity | Promoter Investment Manager of the Issuer | NY | Mar 4, 2019 → Oct 22, 2026 | 44 other issuers |
| Robert A. DiMella | Executive Officer Executive Managing Director of MacKay Shields LLC | CA | Mar 4, 2019 → Oct 22, 2026 | 1 other issuer |
Executive officers, directors and promoters as self-reported by the issuer. Licensed persons: FINRA BrokerCheck ↗ · SEC IAPD ↗.
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