Form D · Other Investment Fund

ENERGY ALPHA PARTNERS, L.P.

Houston, TX · CIK 0001479934

Offering snapshot reported Nov 15, 2013 · SEC filing

Reported sold
$34M
Indefinite offering
Investors reported
36
Form D · investor count
Minimum accepted
$150K
Reported outside-investor minimum
First sale
Jan 1, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$17M$34MJan 6, 2010: $20,200,000.00Jan 6, 2010Jan 3, 2011: $32,126,000.00Jan 3, 2011Dec 22, 2011: $32,126,000.00Dec 22, 2011Nov 15, 2013: $34,029,018.00Nov 15, 2013

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$32,126,000 → $34,029,018
  • Reported investors30 → 36

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 15, 2013Amendment$34,029,018$1,903,018vs Dec 22, 201136SEC filing
Dec 22, 2011Amendment$32,126,000$0vs Jan 3, 201130SEC filing
Jan 3, 2011Amendment$32,126,000$11,926,000vs Jan 6, 201030SEC filing
Jan 6, 2010Initial$20,200,000No comparison24SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-137477

Source: Form D, filed Nov 15, 2013. 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

ENERGY ALPHA PARTNERS, L.P.

Investment adviser: USCA ASSET MANAGEMENT LLC

Gross asset value
$11.2M
Beneficial owners
26
ADV minimum commitment
$1M

Reported in Form ADV on Mar 31, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator HARMONIC FUND SERVICES GEORGE TOWN,GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP TORONTO, ON, Canada
Custodian GREEN BANK, N.A. HOUSTON, Texas, United States Related to adviser: No
Marketer USCA SECURITIES LLC HOUSTON, Texas, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

USCA SECURITIES LLC
CRD 103789 · SEC 8-52285

Filing source

Form ADV 808672 · Mar 31, 2014 · Schedule D 7.B.(1), fund 805-2625674036

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
NameReported role
Philip John Pilibosian Executive
David Lee Solomon Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
1330 Post Oak Boulevard
Houston, TX, 77056