0001630948-24-000003.txt : 20240214 0001630948-24-000003.hdr.sgml : 20240214 20240214105856 ACCESSION NUMBER: 0001630948-24-000003 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b ITEM INFORMATION: Investment Company Act Section 3(c) ITEM INFORMATION: Section 3(c)(7) FILED AS OF DATE: 20240214 DATE AS OF CHANGE: 20240214 EFFECTIVENESS DATE: 20240214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: North Rock Fund, L.P. CENTRAL INDEX KEY: 0001630948 ORGANIZATION NAME: IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-232391 FILM NUMBER: 24634041 BUSINESS ADDRESS: STREET 1: 3801 PGA BLVD. STREET 2: SUITE 500 CITY: PALM BEACH GARDENS STATE: FL ZIP: 33410 BUSINESS PHONE: 5617410820 MAIL ADDRESS: STREET 1: 3801 PGA BLVD. STREET 2: SUITE 500 CITY: PALM BEACH GARDENS STATE: FL ZIP: 33410 D/A 1 primary_doc.xml X0708 D/A LIVE 0001630948 North Rock Fund, L.P. 3801 PGA BLVD. SUITE 604 PALM BEACH GARDENS FL FLORIDA 33410 561-741-0820 DELAWARE None None Limited Partnership true N/A N/A North Rock Capital Management, LLC 3801 PGA Blvd. Suite 604 Palm Beach Gardens FL FLORIDA 33410 Promoter General Partner N/A N/A Lighthouse Investment Partners LLC 3801 PGA Blvd. SUITE 604 PALM BEACH GARDENS FL FLORIDA 33410 Promoter Owner of GP Sean G. McGould 3801 PGA Blvd. Suite 604 Palm Beach Gardens FL FLORIDA 33410 Executive Officer Executive Officer of Lighthouse Kelly R. Perkins 3801 PGA Blvd. Suite 604 Palm Beach Gardens FL FLORIDA 33410 Executive Officer Chief Investment Officer of GP Robert P. Swan, III 3801 PGA Blvd. SUITE 604 PALM BEACH GARDENS FL FLORIDA 33410 Executive Officer Executive Officer of Lighthouse and GP N/A N/A North Rock Fund, Limited 190 Elgin Avenue George Town Grand Cayman E9 CAYMAN ISLANDS KY1-9005 Promoter Parallel fund affiliated offshore fund Pooled Investment Fund Hedge Fund false Decline to Disclose 06b 3C 3C.7 true 0001630948-23-000007 2015-01-01 true true true false 0 CAIS Capital LLC 154512 None None 527 Madison Ave 2nd Floor New York NY NEW YORK 10022 All States false Wells Fargo Advisors Financial Network, LLC 11025 None None One North Jefferson Avenue H0004-05B St. Louis MO MISSOURI 63103 All States false Mesirow Financial Holdings, Inc. None None None 353 N. Clark Street Chicago IL ILLINOIS 60654 All States false Bradesco BAC Florida Investments Corp. 19453 None None 169 MIRACLE MILE Coral Gables FL FLORIDA 33134 All States true JP Morgan Securities LLC 79 None None 383 Madison Avenue New York NY NEW YORK 10179 All States true Raymond James and Associates, Inc. 705 None None 880 Carillon Parkway St. Petersburg FL FLORIDA 33716 All States false Raymond James Financial Services, Inc. 6694 None None 880 Carillon Parkway St. Petersburg FL FLORIDA 33716 All States false Sussex Partners AG None None None Talstrasse 82 Zurich V8 SWITZERLAND 8001 true Sussex Partners UK Limited None None None 15 Savile Row London X0 UNITED KINGDOM W1S 3PJ true Wells Fargo Clearing Service, LLC 19616 None None One North Jefferson Avenue Mail Code: H0004-063 St. Louis MO MISSOURI 63103 All States false Wells Fargo Clearing Service, LLC 11025 None None One North Jefferson Avenue Mail Code: H0004-05B St. Louis MO MISSOURI 63103 All States false Wells Fargo Clearing Service, LLC 19616 None None One North Jefferson Avenue Mail Code: H0004-063 St. Louis MO MISSOURI 63103 All States false Indefinite 344262415 Indefinite The Total Amount Sold herein reflects the net asset value of the Issuer as of 11/30/23. false 346 0 true 0 true 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. 0 true The General Partner is entitled to receive management fees and performance fees in accordance with the applicable offering documents. false North Rock Fund, L.P. Robert Swan III Robert Swan III Vice President of the GP 2024-02-14