0001631067-23-000010.txt : 20230503
0001631067-23-000010.hdr.sgml : 20230503
20230502173255
ACCESSION NUMBER: 0001631067-23-000010
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: 20230503
DATE AS OF CHANGE: 20230502
EFFECTIVENESS DATE: 20230503
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: 23880647
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
0001631067-23-000009
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
AL
ALABAMA
AK
ALASKA
AZ
ARIZONA
AR
ARKANSAS
CA
CALIFORNIA
CO
COLORADO
CT
CONNECTICUT
DE
DELAWARE
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DISTRICT OF COLUMBIA
FL
FLORIDA
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GEORGIA
HI
HAWAII
ID
IDAHO
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ILLINOIS
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INDIANA
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IOWA
KS
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LA
LOUISIANA
ME
MAINE
MD
MARYLAND
MA
MASSACHUSETTS
MI
MICHIGAN
MN
MINNESOTA
MS
MISSISSIPPI
MO
MISSOURI
MT
MONTANA
NE
NEBRASKA
NV
NEVADA
NH
NEW HAMPSHIRE
NJ
NEW JERSEY
NM
NEW MEXICO
NY
NEW YORK
NC
NORTH CAROLINA
ND
NORTH DAKOTA
OH
OHIO
OK
OKLAHOMA
OR
OREGON
PA
PENNSYLVANIA
PR
PUERTO RICO
RI
RHODE ISLAND
SC
SOUTH CAROLINA
SD
SOUTH DAKOTA
TN
TENNESSEE
TX
TEXAS
VT
VERMONT
VA
VIRGINIA
WA
WASHINGTON
WV
WEST VIRGINIA
WI
WISCONSIN
WY
WYOMING
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
AL
ALABAMA
AK
ALASKA
AZ
ARIZONA
AR
ARKANSAS
CA
CALIFORNIA
CO
COLORADO
CT
CONNECTICUT
DE
DELAWARE
DC
DISTRICT OF COLUMBIA
FL
FLORIDA
GA
GEORGIA
HI
HAWAII
ID
IDAHO
IL
ILLINOIS
IN
INDIANA
IA
IOWA
KS
KANSAS
KY
KENTUCKY
LA
LOUISIANA
ME
MAINE
MD
MARYLAND
MA
MASSACHUSETTS
MI
MICHIGAN
MN
MINNESOTA
MS
MISSISSIPPI
MO
MISSOURI
MT
MONTANA
NE
NEBRASKA
NV
NEVADA
NH
NEW HAMPSHIRE
NJ
NEW JERSEY
NM
NEW MEXICO
NY
NEW YORK
NC
NORTH CAROLINA
ND
NORTH DAKOTA
OH
OHIO
OK
OKLAHOMA
OR
OREGON
PA
PENNSYLVANIA
PR
PUERTO RICO
RI
RHODE ISLAND
SC
SOUTH CAROLINA
SD
SOUTH DAKOTA
TN
TENNESSEE
TX
TEXAS
VT
VERMONT
VA
VIRGINIA
WA
WASHINGTON
WV
WEST VIRGINIA
WI
WISCONSIN
WY
WYOMING
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
2023-05-02