Sponsor Check › Nis Core Fixed › Issuer
Limited Liability Company · organized in DELAWARE · formed Over five years ago · MILWAUKEE, WI · SEC CIK 1687401
Part of sponsor group: Nis Core Fixed (13 issuers, 132 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 22, 2026 · Courts (RECAP) last checked: not yet · SEC enforcement last checked: Oct 23, 2026, 8:12 PM ET
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Sources searched: SEC litigation releases + SEC administrative proceedings (sec.gov index, 1995-09-19 → 2026-10-23) · Last checked Oct 23, 2026, 8:12 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.
No comparisons published yet.
Sources to be compared: sponsor public claims · SEC Form D · SEC Form ADV (IAPD) · state business records · As of Oct 23, 2026, 9:13 PM ET.
0 of 1 offering report sales commissions; 0 report finder's fees; 0 report proceeds to related persons.
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Oct 22, 2026 D/A File 021-275058 | $0 | $0 | $0 The investment adviser, an entity whose executive officers are listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. | None listed |
As reported by the issuer on Form D (Items 12–15), latest filing per offering. "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates.
Each filing as reported by the issuer. Open a row for the full plain-English detail.
| Filing | Form D/A (amendment) filed Oct 22, 2026 · amends 0001687401-25-000002 ↗ SEC file no. 021-275058 · accession 0001687401-26-000001 |
|---|---|
| Raise progress | $1,279,284,870 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Oct 22, 2026 (7053 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 | 7,055 days (19.3 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 | 118 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity whose executive officers are listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Scott O. Van Lith, Chief Financial Officer (Oct 22, 2026) |
| Changes vs prior filing | total sold: $1,203,749,870 → $1,279,284,870 Compared with the D/A filed Oct 23, 2025 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 118. 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 23, 2025 · amends 0001687401-24-000001 ↗ SEC file no. 021-275058 · accession 0001687401-25-000002 |
|---|---|
| Raise progress | $1,203,749,870 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Oct 23, 2025 (6689 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 | 7,055 days (19.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 23, 2025. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 118 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity whose executive officers are listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Scott O. Van Lith, Chief Financial Officer (Oct 23, 2025) |
| Changes vs prior filing | total sold: $1,159,258,694 → $1,203,749,870 investors: 116 → 118 Compared with the D/A filed Oct 31, 2024 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 118. 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 31, 2024 · amends 0001687401-23-000001 ↗ SEC file no. 021-275058 · accession 0001687401-24-000001 |
|---|---|
| Raise progress | $1,159,258,694 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Oct 31, 2024 (6332 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 | 7,055 days (19.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 31, 2024. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 116 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity whose executive officers are listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Scott O. Van Lith, Chief Financial Officer (Oct 30, 2024) |
| Changes vs prior filing | total sold: $1,096,363,694 → $1,159,258,694 investors: 115 → 116 Compared with the D/A filed Nov 1, 2023 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 116. 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 Nov 1, 2023 · amends 0001687401-22-000001 ↗ SEC file no. 021-275058 · accession 0001687401-23-000001 |
|---|---|
| Raise progress | $1,096,363,694 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Nov 1, 2023 (5967 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 | 7,055 days (19.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Nov 1, 2023. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 115 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity whose executive officers are listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Scott O. Van Lith, Chief Financial Officer (Nov 1, 2023) |
| Changes vs prior filing | total sold: $1,064,153,694 → $1,096,363,694 investors: 113 → 115 Compared with the D/A filed Nov 3, 2022 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 115. 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 Nov 3, 2022 · amends 0001286269-21-000004 ↗ SEC file no. 021-275058 · accession 0001687401-22-000001 |
|---|---|
| Raise progress | $1,064,153,694 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Nov 3, 2022 (5604 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 | 7,055 days (19.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Nov 3, 2022. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 113 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity whose executive officers are listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Scott O. Van Lith, Chief Financial Officer (Nov 2, 2022) |
| Changes vs prior filing | total sold: $910,193,298 → $1,064,153,694 Compared with the D/A filed Nov 5, 2021 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 113. 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 Nov 5, 2021 · amends 0001687401-20-000001 ↗ SEC file no. 021-275058 · accession 0001286269-21-000004 |
|---|---|
| Raise progress | $910,193,298 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Nov 5, 2021 (5241 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 | 7,055 days (19.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Nov 5, 2021. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 113 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity whose executive officers are listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Larry H. Haslee, Chief Compliance Officer (Nov 5, 2021) |
| Changes vs prior filing | total sold: $835,058,720 → $910,193,298 investors: 111 → 113 Compared with the D/A filed Nov 12, 2020 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 113. 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 Nov 5, 2021 · amends 0001687401-20-000001 ↗ SEC file no. 021-275058 · accession 0001286269-21-000003 |
|---|---|
| Raise progress | $910,193,298 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Nov 5, 2021 (5241 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 | 7,055 days (19.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Nov 5, 2021. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 113 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity whose executive officers are listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Larry H. Haslee, Chief Compliance Officer (Nov 5, 2021) |
| Changes vs prior filing | total sold: $835,058,720 → $910,193,298 investors: 111 → 113 Compared with the D/A filed Nov 12, 2020 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 113. 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 Nov 5, 2021 · amends 0001687401-20-000001 ↗ SEC file no. 021-275058 · accession 0001286269-21-000002 |
|---|---|
| Raise progress | $910,193,298 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Nov 5, 2021 (5241 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 | 7,055 days (19.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Nov 5, 2021. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 113 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity whose executive officers are listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Larry H. Haslee, Chief Compliance Officer (Nov 5, 2021) |
| Changes vs prior filing | total sold: $835,058,720 → $910,193,298 investors: 111 → 113 Compared with the D/A filed Nov 12, 2020 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 113. 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 Nov 12, 2020 · amends 0001687414-19-000004 ↗ SEC file no. 021-275058 · accession 0001687401-20-000001 |
|---|---|
| Raise progress | $835,058,720 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Nov 12, 2020 (4883 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 | 7,055 days (19.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Nov 12, 2020. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 111 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity whose executive officers are listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Larry Haslee, Chief Compliance Officer (Nov 12, 2020) |
| Changes vs prior filing | total sold: $759,548,720 → $835,058,720 investors: 110 → 111 Compared with the D/A filed Nov 13, 2019 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 111. 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 Nov 13, 2019 · amends 0000939791-18-000021 ↗ SEC file no. 021-275058 · accession 0001687414-19-000004 |
|---|---|
| Raise progress | $759,548,720 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Nov 13, 2019 (4518 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 | 7,055 days (19.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Nov 13, 2019. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 110 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity controlled by the individuals listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Larry Haslee, Chief Compliance Officer (Nov 13, 2019) |
| Changes vs prior filing | total sold: $649,213,720 → $759,548,720 investors: 106 → 110 Compared with the D/A filed Nov 16, 2018 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 110. 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 Nov 16, 2018 · amends 0000939791-18-000014 ↗ SEC file no. 021-275058 · accession 0000939791-18-000021 |
|---|---|
| Raise progress | $649,213,720 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Nov 16, 2018 (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 | 7,055 days (19.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Nov 16, 2018. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 106 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity controlled by the individuals listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Larry Haslee, Chief Compliance Officer (Nov 16, 2018) |
| Changes vs prior filing | total sold: $538,111,418 → $649,213,720 investors: 96 → 106 Compared with the D/A filed Nov 14, 2018 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 106. 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 Nov 14, 2018 · amends 0001687401-17-000001 ↗ SEC file no. 021-275058 · accession 0000939791-18-000014 |
|---|---|
| Raise progress | $538,111,418 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Nov 14, 2018 (4154 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 | 7,055 days (19.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Nov 14, 2018. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 96 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity controlled by the individuals listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Larry Haslee, Chief Compliance Officer (Nov 14, 2018) |
| Changes vs prior filing | total sold: $491,368,720 → $538,111,418 investors: 97 → 96 Compared with the D/A filed Nov 17, 2017 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Market context | Minimum investment: $0. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 96. 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 Nov 17, 2017 · amends 0001286269-16-000004 ↗ SEC file no. 021-275058 · accession 0001687401-17-000001 |
|---|---|
| Raise progress | $491,368,720 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Nov 17, 2017 (3792 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 | 7,055 days (19.3 years) |
| Annual amendments | Issuer reported the offering may last more than one year. This filing is an amendment dated Nov 17, 2017. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 97 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity controlled by the individuals listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Larry Haslee, Chief Compliance Officer (Nov 17, 2017) |
| Changes vs prior filing | total sold: $333,992,167 → $491,368,720 investors: 85 → 97 Compared with the D filed Nov 23, 2016 (EDGAR ↗). Amendment history as filed; no conclusion is drawn. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set |
| Filing | Form D filed Nov 23, 2016 SEC file no. 021-275058 · accession 0001286269-16-000004 |
|---|---|
| Raise progress | $333,992,167 sold of Indefinite offered · Indefinite remaining |
| Filing timing | Date of first sale: Jul 1, 2007 · Form D filed: Nov 23, 2016 (3433 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 | 7,055 days (19.3 years) |
| 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 | 85 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3C exclusion; Investment Company Act 3C.1 exclusion |
| Minimum investment accepted | $0 |
| Securities offered | Equity; Pooled investment fund interests; Other: limited liability company interests |
| Industry / issuer size | Pooled Investment Fund (Hedge Fund) · net asset value range: Decline to Disclose |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 The investment adviser, an entity controlled by the individuals listed in Item 3 above, is entitled to receive a management fee in an amount equal to a specified percentage of assets under management. |
| Signed by | Larry Haslee, Chief Compliance Officer (Nov 23, 2016) |
| 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 |
|---|---|---|---|---|
| Bartlett Joseph McCartin III | Executive Officer, Director Mr. McCartin is an executive officer and director of National Investment Services of America, LLC, the manager of the Issuer. | IL | Oct 23, 2025 → Oct 22, 2026 | 5 other issuers |
| National Investment Services of America, LLC entity | Executive Officer, Promoter National Investment Services of America, LLC (doing business as National Investment Services) is the manager of the Issuer. | WI | Nov 12, 2020 → Oct 22, 2026 | 12 other issuers |
| Scott O. Van Lith | Executive Officer Mr. Van Lith is an executive officer of National Investment Services of America, LLC, the manager of the Issuer. | WI | Oct 23, 2025 → Oct 22, 2026 | 12 other issuers |
| Robert n/a Brooks | Executive Officer, Director Mr. Brooks is a director and executive officer of National Investment Services, Inc., the manager of the Issuer. | WI | Nov 23, 2016 → Oct 23, 2025 | 13 other issuers |
| Scott n/a Van Lith | Executive Officer Mr. Van Lith is an executive officer of National Investment Services of America, LLC, the manager of the Issuer. | WI | Nov 3, 2022 → Oct 31, 2024 | — |
| Larry H. Haslee | Executive Officer Mr. Haslee an executive officer of National Investment Services, Inc., the manager of the Issuer. | WI | Nov 23, 2016 → Nov 5, 2021 | 12 other issuers |
| Norman E. Sidler | Executive Officer Mr. Sidler is a director and executive officer of National Investment Services, Inc., the manager of the Issuer. | WI | Nov 23, 2016 → Nov 5, 2021 | 11 other issuers |
| Scott H. Van Lith | Executive Officer, Director Mr. Van Lith is an executive officer of National Investment Services of America, LLC, the manager of the Issuer. | WI | Nov 5, 2021 | — |
| Kent J. White | Executive Officer, Director Mr. White is a director and executive officer of National Investment Services, Inc., the manager of the Issuer. | WI | Nov 23, 2016 → Nov 13, 2019 | 11 other issuers |
| National Investment Services, Inc. entity | Executive Officer, Promoter National Investment Services, Inc. is the manager of the Issuer. | WI | Nov 23, 2016 → Nov 13, 2019 | 11 other issuers |
Executive officers, directors and promoters as self-reported by the issuer. Licensed persons: FINRA BrokerCheck ↗ · SEC IAPD ↗.
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