EFDID: 134263EFD: View Filing

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

Accession: 0001631067-24-000002 (XMLRaw Data) (EDGAREDGAR Files) (Form DForm D)

EDGAR: Issuer Information
  • CIK:
    0001631067
  • Entity Name:
    North Rock Fund, Ltd
  • Entity Type:
    Other
  • Jurisdiction:
    CAYMAN ISLANDS
  • Year of Inc:
    Over 5 years ago
  • Address:
    190 ELGIN AVENUE
    GEORGE TOWN
    GRAND CAYMAN, E9 KY1-9005
  • Persons:
    Related Persons 8
    N/A N/A North Rock Capital Management, LLC
    Promoter 
    Investment Manager
    N/A N/A Lighthouse Investment Partners, LLC
    Promoter 
    Owner of IM
    N/A N/A North Rock Fund, L.P.
    Promoter 
    Parallel fund/affiliated U.S. fund
    Sean G. McGould
    Executive Officer, Director 
    Executive Officer of Lighthouse
    Kelly R. Perkins
    Executive Officer, Director 
    Chief Investment Officer of the Investment Manager
    Robert P. Swan, III
    Executive Officer
    Barry N/A McGrath
    Director
    Georgia N/A Prinsloo
    Director 
    Principal of Global Funds Management, Ltd. has entered into Director Services Agreement with the Fund.
EDGAR: Offering Information
  • Accession Date:
    02/14/2024
  • First Sale Date:
    06/14/2017
  • Offering Amount:
    Indefinite
  • Amount Sold:
    $520,737,786
  • Exemptions:
    Section 3(c)(7), Investment Company Act Section 3(c) , Rule 506
  • Security Type(s):
    Equity, Pooled Investment Fund
  • Sales Clarification:
    The Total Amount Sold herein reflects the net asset value of the Issuer as of 11/30/23.
EFD: Current State Notices
View Notices

Notices found in EFD

Filed:AK, AR, AZ, CA, CO, CT, DC, DE, GA, IA, IL, IN, MA, MD, MI, MN, MO, MT, NC, NE, NH, NJ, NY, OH, OR, PA, RI, TN, TX, UT, VA, WA, WI
Inactive:SC
EDGAR: Sales Compensation Recipient Information
RecipientCRDBroker DealerBD CRDStates
CAIS Capital LLC 154512 None None All States
Wells Fargo Advisors Financial Network, LLC 11025 None None All States
Sussex Partners UK Limited None None None
Bank Julius Baer and Co Ltd None None None
Mesirow Financial Holdings, Inc. None None None AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, VT, VA, WA, WV, WI, WY
AAN Advisor HK Limited None None None
Bradesco BAC Florida Investments Corp. 19453 None None AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, VT, VA, WA, WV, WI, WY
JP Morgan Securities LLC 79 None None All States
Raymond James and Associates, Inc. 705 None None All States
Raymond James Financial Services, Inc. 6694 None None All States
Sussex Partners AG None None None
Sussex Partners UK Limited None None None
Wells Fargo Clearing Service, LLC 19616 None None All States
Wells Fargo Clearing Service, LLC 11025 None None All States
Wells Fargo Clearing Service, LLC 19616 None None All States
Saudi Fransi Capital None None None
EDGAR: Signatures
IssuerSignatureSigner NameTitleSignatureDate
North Rock Fund, LtdRobert Swan IIIRobert Swan IIIVice President of the Investment Manager2024-02-14
Related EDGAR Submissions
Type Edgar Date EFD: Accession
D/A Jun. 04, 2025 134263: 0001631067-25-000007 North Rock Fund, Ltd
Amount Sold: $2,239,519,581
D/A Feb. 14, 2025 134263: 0001631067-25-000005 North Rock Fund, Ltd
Amount Sold: $2,239,519,581
D/A Feb. 14, 2024 134263: 0001631067-24-000002 North Rock Fund, Ltd
Amount Sold: $520,737,786
D/A May. 02, 2023 134263: 0001631067-23-000010 North Rock Fund, Ltd
Amount Sold: $242,401,620
D/A Feb. 14, 2023 134263: 0001631067-23-000009 North Rock Fund, Ltd
Amount Sold: $242,401,620
D/A Feb. 14, 2022 134263: 0001522454-22-000009 North Rock Fund, Ltd
Amount Sold: $152,223,558
D/A Feb. 12, 2021 134263: 0001631067-21-000001 North Rock Fund, Ltd
Amount Sold: $64,792,428
D/A Feb. 14, 2020 134263: 0001631067-20-000001 North Rock Fund, Ltd
Amount Sold: $19,749,309
D/A Feb. 15, 2019 134263: 0001631067-19-000001 North Rock Fund, Ltd
Amount Sold: $357,121
D/A Feb. 15, 2018 134263: 0001631067-18-000003 North Rock Fund, Ltd
Amount Sold: $346,713
D Jan. 20, 2015 134263: 0001631067-15-000001 North Rock Fund, Ltd