0001631067-23-000009.txt : 20230214 0001631067-23-000009.hdr.sgml : 20230214 20230214111912 ACCESSION NUMBER: 0001631067-23-000009 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: 20230214 DATE AS OF CHANGE: 20230214 EFFECTIVENESS DATE: 20230214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: North Rock Fund, Ltd CENTRAL INDEX KEY: 0001631067 IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-232569 FILM NUMBER: 23624672 BUSINESS ADDRESS: STREET 1: 190 ELGIN AVENUE STREET 2: GEORGE TOWN CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-9005 BUSINESS PHONE: 345-946-7412 MAIL ADDRESS: STREET 1: 190 ELGIN AVENUE STREET 2: GEORGE TOWN CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-9005 D/A 1 primary_doc.xml X0708 D/A LIVE 0001631067 North Rock Fund, Ltd 190 ELGIN AVENUE GEORGE TOWN GRAND CAYMAN E9 CAYMAN ISLANDS KY1-9005 345-946-7412 CAYMAN ISLANDS None None Other exempted company true N/A N/A North Rock Capital Management, LLC 3801 PGA Blvd. Suite 500 Palm Beach Gardens FL FLORIDA 33410 Promoter Investment Manager N/A N/A Lighthouse Investment Partners, LLC 3801 PGA Blvd. Suite 500 Palm Beach Gardens FL FLORIDA 33410 Promoter Owner of IM N/A N/A North Rock Fund, L.P. 3801 PGA Blvd. Suite 500 Palm Beach Gardens FL FLORIDA 33410 Promoter Parallel fund/affiliated U.S. fund Sean G. McGould 3801 PGA Blvd. Suite 500 Palm Beach Gardens FL FLORIDA 33410 Executive Officer Director Executive Officer of Lighthouse Kelly R. Perkins 3801 PGA Blvd. Suite 500 Palm Beach Gardens FL FLORIDA 33410 Executive Officer Director Chief Investment Officer of the Investment Manager Robert P. Swan, III 3801 PGA Blvd. Suite 500 Palm Beach Gardens FL FLORIDA 33410 Executive Officer Barry N/A McGrath Carriag Breac House, Old Carrickbrack Rd Baily, Howth Co. Dublin L2 IRELAND F92YC56 Director Georgia N/A Prinsloo Buckingham Square, 2nd Floor 720A West, PO Box 10034 Grand Cayman E9 CAYMAN ISLANDS KY1-1001 Director Principal of Global Funds Management, Ltd. has entered into Director Services Agreement with the Fund. Pooled Investment Fund Hedge Fund false Decline to Disclose 06b 3C 3C.7 true 0001522454-22-000009 2017-06-14 true true true false 100000 Creuza International Ltd. None None None One Bay Street, Suite 200B, 2nd Floor Centre of Commerce, P.O. Box N-3944 Nassau C5 BAHAMAS 000000 true CAIS Capital LLC 154512 None None 527 Madison Avenue, 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 Sussex Partners UK Limited None None None 94 Solaris Avenue, 2nd Floor Camana Bay, P.O. Box 30745 Grand Cayman E9 CAYMAN ISLANDS KY1-1203 true Bank Julius Baer and Co Ltd None None None Bahnofstrasse 36 Zurich V8 SWITZERLAND 8010 true Mesirow Financial Holdings, Inc. None None None 353 N. Clark Street Chicago IL ILLINOIS 60654 All States false AAN Advisor HK Limited None None None RM1902, Easey Comm Bldg 253-261 Hennessy Rd Wan Chai K3 HONG KONG 00000 true 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 242401620 Indefinite The Total Amount Sold herein reflects the net asset value of the Issuer as of 12/31/22. false 563 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 Investment Manager is entitled to receive management fees and performance fees in accordance with the applicable offering documents. false North Rock Fund, Ltd Robert Swan III Robert Swan III Vice President of the Investment Manager 2023-02-14