Form D Raw Data - Electronic Filing Depository

EFDID: 134263EFD: Raw Data

Issuer: North Rock Fund, Ltd (0001631067) - D/A

Accession: 0001631067-23-000009 () (EDGAR Files) (Form D)

Edgar Posted: Feb. 14, 2023
EFD Posted: Feb. 14, 2023

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001631067 </ cik >

< entityName > North Rock Fund, Ltd </ entityName >

- < issuerAddress >

< street1 > 190 ELGIN AVENUE </ street1 >

< street2 > GEORGE TOWN </ street2 >

< city > GRAND CAYMAN </ city >

< stateOrCountry > E9 </ stateOrCountry >

< stateOrCountryDescription > CAYMAN ISLANDS </ stateOrCountryDescription >

< zipCode > KY1-9005 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 345-946-7412 </ issuerPhoneNumber >

< jurisdictionOfInc > CAYMAN ISLANDS </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Other </ entityType >

< entityTypeOtherDesc > exempted company </ entityTypeOtherDesc >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< middleName > N/A </ middleName >

< lastName > North Rock Capital Management, LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3801 PGA Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Investment Manager </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< middleName > N/A </ middleName >

< lastName > Lighthouse Investment Partners, LLC </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3801 PGA Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Owner of IM </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > N/A </ firstName >

< middleName > N/A </ middleName >

< lastName > North Rock Fund, L.P. </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3801 PGA Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Promoter </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Parallel fund/affiliated U.S. fund </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Sean </ firstName >

< middleName > G. </ middleName >

< lastName > McGould </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3801 PGA Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Executive Officer of Lighthouse </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Kelly </ firstName >

< middleName > R. </ middleName >

< lastName > Perkins </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3801 PGA Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Chief Investment Officer of the Investment Manager </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Robert </ firstName >

< middleName > P. </ middleName >

< lastName > Swan, III </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 3801 PGA Blvd. </ street1 >

< street2 > Suite 500 </ street2 >

< city > Palm Beach Gardens </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33410 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Barry </ firstName >

< middleName > N/A </ middleName >

< lastName > McGrath </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > Carriag Breac House, Old Carrickbrack Rd </ street1 >

< street2 > Baily, Howth Co. </ street2 >

< city > Dublin </ city >

< stateOrCountry > L2 </ stateOrCountry >

< stateOrCountryDescription > IRELAND </ stateOrCountryDescription >

< zipCode > F92YC56 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Georgia </ firstName >

< middleName > N/A </ middleName >

< lastName > Prinsloo </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > Buckingham Square, 2nd Floor </ street1 >

< street2 > 720A West, PO Box 10034 </ street2 >

< city > Grand Cayman </ city >

< stateOrCountry > E9 </ stateOrCountry >

< stateOrCountryDescription > CAYMAN ISLANDS </ stateOrCountryDescription >

< zipCode > KY1-1001 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Principal of Global Funds Management, Ltd. has entered into Director Services Agreement with the Fund. </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Pooled Investment Fund </ industryGroupType >

- < investmentFundInfo >

< investmentFundType > Hedge Fund </ investmentFundType >

< is40Act > false </ is40Act >

</ investmentFundInfo >

</ industryGroup >

- < issuerSize >

< aggregateNetAssetValueRange > Decline to Disclose </ aggregateNetAssetValueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

< item > 3C </ item >

< item > 3C.7 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0001522454-22-000009 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2017-06-14 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isPooledInvestmentFundType > true </ isPooledInvestmentFundType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 100000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Creuza International Ltd. </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One Bay Street, Suite 200B, 2nd Floor </ street1 >

< street2 > Centre of Commerce, P.O. Box N-3944 </ street2 >

< city > Nassau </ city >

< stateOrCountry > C5 </ stateOrCountry >

< stateOrCountryDescription > BAHAMAS </ stateOrCountryDescription >

< zipCode > 000000 </ zipCode >

</ recipientAddress >

< statesOfSolicitationList />

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CAIS Capital LLC </ recipientName >

< recipientCRDNumber > 154512 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 527 Madison Avenue, 2nd Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Wells Fargo Advisors Financial Network, LLC </ recipientName >

< recipientCRDNumber > 11025 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One North Jefferson Avenue </ street1 >

< street2 > H0004-05B </ street2 >

< city > St. Louis </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sussex Partners UK Limited </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 94 Solaris Avenue, 2nd Floor </ street1 >

< street2 > Camana Bay, P.O. Box 30745 </ street2 >

< city > Grand Cayman </ city >

< stateOrCountry > E9 </ stateOrCountry >

< stateOrCountryDescription > CAYMAN ISLANDS </ stateOrCountryDescription >

< zipCode > KY1-1203 </ zipCode >

</ recipientAddress >

< statesOfSolicitationList />

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Bank Julius Baer and Co Ltd </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > Bahnofstrasse 36 </ street1 >

< city > Zurich </ city >

< stateOrCountry > V8 </ stateOrCountry >

< stateOrCountryDescription > SWITZERLAND </ stateOrCountryDescription >

< zipCode > 8010 </ zipCode >

</ recipientAddress >

< statesOfSolicitationList />

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Mesirow Financial Holdings, Inc. </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 353 N. Clark Street </ street1 >

< city > Chicago </ city >

< stateOrCountry > IL </ stateOrCountry >

< stateOrCountryDescription > ILLINOIS </ stateOrCountryDescription >

< zipCode > 60654 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > AAN Advisor HK Limited </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > RM1902, Easey Comm Bldg </ street1 >

< street2 > 253-261 Hennessy Rd </ street2 >

< city > Wan Chai </ city >

< stateOrCountry > K3 </ stateOrCountry >

< stateOrCountryDescription > HONG KONG </ stateOrCountryDescription >

< zipCode > 00000 </ zipCode >

</ recipientAddress >

< statesOfSolicitationList />

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Bradesco BAC Florida Investments Corp. </ recipientName >

< recipientCRDNumber > 19453 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 169 MIRACLE MILE </ street1 >

< city > Coral Gables </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33134 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > JP Morgan Securities LLC </ recipientName >

< recipientCRDNumber > 79 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 383 Madison Avenue </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10179 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Raymond James and Associates, Inc. </ recipientName >

< recipientCRDNumber > 705 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 880 Carillon Parkway </ street1 >

< city > St. Petersburg </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33716 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Raymond James Financial Services, Inc. </ recipientName >

< recipientCRDNumber > 6694 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 880 Carillon Parkway </ street1 >

< city > St. Petersburg </ city >

< stateOrCountry > FL </ stateOrCountry >

< stateOrCountryDescription > FLORIDA </ stateOrCountryDescription >

< zipCode > 33716 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sussex Partners AG </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > Talstrasse 82 </ street1 >

< city > Zurich </ city >

< stateOrCountry > V8 </ stateOrCountry >

< stateOrCountryDescription > SWITZERLAND </ stateOrCountryDescription >

< zipCode > 8001 </ zipCode >

</ recipientAddress >

< statesOfSolicitationList />

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Sussex Partners UK Limited </ recipientName >

< recipientCRDNumber > None </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 15 Savile Row </ street1 >

< city > London </ city >

< stateOrCountry > X0 </ stateOrCountry >

< stateOrCountryDescription > UNITED KINGDOM </ stateOrCountryDescription >

< zipCode > W1S 3PJ </ zipCode >

</ recipientAddress >

< statesOfSolicitationList />

< foreignSolicitation > true </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Wells Fargo Clearing Service, LLC </ recipientName >

< recipientCRDNumber > 19616 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One North Jefferson Avenue </ street1 >

< street2 > Mail Code: H0004-063 </ street2 >

< city > St. Louis </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Wells Fargo Clearing Service, LLC </ recipientName >

< recipientCRDNumber > 11025 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One North Jefferson Avenue </ street1 >

< street2 > Mail Code: H0004-05B </ street2 >

< city > St. Louis </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Wells Fargo Clearing Service, LLC </ recipientName >

< recipientCRDNumber > 19616 </ recipientCRDNumber >

< associatedBDName > None </ associatedBDName >

< associatedBDCRDNumber > None </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > One North Jefferson Avenue </ street1 >

< street2 > Mail Code: H0004-063 </ street2 >

< city > St. Louis </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 242401620 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse > The Total Amount Sold herein reflects the net asset value of the Issuer as of 12/31/22. </ clarificationOfResponse >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 563 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 0 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ findersFees >

< clarificationOfResponse > Placement agents may receive ongoing compensation in respect to selling interest. In addition, the fund's manager may pay a portion of its management fees to certain agents. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ grossProceedsUsed >

< clarificationOfResponse > The Investment Manager is entitled to receive management fees and performance fees in accordance with the applicable offering documents. </ clarificationOfResponse >

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > North Rock Fund, Ltd </ issuerName >

< signatureName > Robert Swan III </ signatureName >

< nameOfSigner > Robert Swan III </ nameOfSigner >

< signatureTitle > Vice President of the Investment Manager </ signatureTitle >

< signatureDate > 2023-02-14 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >