Form D · Other Investment Fund

DGV Ferndale Fund LLC

Minnetonka, MN · CIK 0001739247

Offering snapshot reported May 10, 2018 · SEC filing

Reported sold: $23M
Investors reported: 2
Minimum accepted: $0
First sale: May 1, 2018

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
May 10, 2018	Initial	$23,000,000	No comparison	2	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06b, 3C, 3C.1, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-312112

Source: Form D, filed May 10, 2018. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

DGV FERNDALE FUND LLC

Investment adviser: DGV SOLUTIONS LP

Gross asset value: $33.3M
Beneficial owners: 2
ADV minimum commitment: $1M

Reported in Form ADV on Mar 29, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP MINNEAPOLIS, Minnesota, United States

Custodian NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States Related to adviser: No

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Prime broker NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ERNST & YOUNG LLP
PCAOB 42

NORTHERN TRUST SECURITIES, INC.
SEC 8-23689

THE NORTHERN TRUST COMPANY
LEI 6PTKHDJ8HDUF78PFWH30

NORTHERN TRUST SECURITIES, INC.
CRD 7927 · SEC 8-23689

Filing source

Form ADV 1284827 · Mar 29, 2019 · Schedule D 7.B.(1), fund 805-4048069006

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
Lance Breiland	Executive
N/A Dgv Solutions Lp	Promoter
Jonathan Havice	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

601 Carlson Parkway Suite 875
Minnetonka, MN, 55305