Form D · Hedge Fund

Advisory Research Global Small Cap Fund, L.P.

Chicago, IL · CIK 0001496332

Offering snapshot reported Jul 29, 2016 · SEC filing

Reported sold
$8.81M
Indefinite offering
Investors reported
10
Form D · investor count
Minimum accepted
$500K
Reported outside-investor minimum
First sale
Jul 1, 2010
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$4.4M$8.81MJul 12, 2010: $375,000.00Jul 12, 2010Jul 11, 2011: $400,000.00Jul 10, 2012: $400,000.00Jul 9, 2013: $400,000.00Jul 29, 2014: $400,000.00Jul 29, 2015: $400,000.00Jul 29, 2016: $8,805,000.00Jul 29, 2016

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$400,000 → $8,805,000
  • Reported investors9 → 10

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jul 29, 2016Amendment$8,805,000$8,405,000vs Jul 29, 201510SEC filing
Jul 29, 2015Amendment$400,000$0vs Jul 29, 20149SEC filing
Jul 29, 2014Amendment$400,000$0vs Jul 9, 20139SEC filing
Jul 9, 2013Amendment$400,000$0vs Jul 10, 20129SEC filing
Jul 10, 2012Amendment$400,000$0vs Jul 11, 20119SEC filing
Jul 11, 2011Amendment$400,000$25,000vs Jul 12, 20109SEC filing
Jul 12, 2010Initial$375,000No comparison8SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-144720
Although the Issuer has set a minimum investment amount of $500,000, the General Partner may from time to time in its sole discretion admit Limited Partners who invest less than $500,000.

Source: Form D, filed Jul 29, 2016. 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

ADVISORY RESEARCH GLOBAL SMALL CAP FUND, L.P.

Investment adviser: ADVISORY RESEARCH INC

Gross asset value
$0
Beneficial owners
0
ADV minimum commitment
$500K

Reported in Form ADV on Dec 18, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator WOODFIELD FUND ADMINISTRATION SCHAUMBURG, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG CHICAGO, Illinois, United States
Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No
Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No
Prime broker BNY MELLON NEW YORK, New York, United States
Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

ERNST & YOUNG
PCAOB 42

PERSHING LLC
SEC 8-17574

PERSHING LLC
CRD 7560 · SEC 8-17574

Filing source

Form ADV 1258754 · Dec 18, 2018 · Schedule D 7.B.(1), fund 805-4299857751

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
Heather Calby Executive
Timothy L Carter Executive
Christopher Crawshaw Director, Executive, Promoter
David B Heller Executive
Cari Ann Hopfensperger Executive
Laura Moret Executive
Brien O'brien Director, Executive, Promoter
Thomas G. Smith Director
Susan Steiner Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
180 North Stetson Avenue Suite 5500
Chicago, IL, 60601