Form D · Hedge Fund

ADVISORY RESEARCH SMALL MID CAP VALUE EQUITY FUND II LP

Chicago, IL · CIK 0001324391

Offering snapshot reported Jan 4, 2018 · SEC filing

Reported sold: $243M
Investors reported: 201
Minimum accepted: $500K
First sale: Apr 1, 2005

Fundraising history

Reported sold

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 4, 2018	Amendment	$242,561,300	$0vs Jan 9, 2017	201	SEC filing
Jan 9, 2017	Amendment	$242,561,300	$300,000vs Jan 8, 2016	201	SEC filing
Jan 8, 2016	Amendment	$242,261,300	$0vs Jan 12, 2015	201	SEC filing
Jan 12, 2015	Amendment	$242,261,300	$725,000vs Jan 24, 2014	201	SEC filing
Jan 24, 2014	Amendment	$241,536,300	$1,432,800vs Jan 24, 2013	200	SEC filing
Jan 24, 2013	Amendment	$240,103,500	$0vs Jan 25, 2012	199	SEC filing
Jan 25, 2012	Amendment	$240,103,500	$11,100,000vs Jan 31, 2011	199	SEC filing
Jan 31, 2011	Amendment	$229,003,500	$151,026vs Feb 11, 2010	197	SEC filing
Feb 11, 2010	Amendment	$228,852,474	No comparison	197	SEC filing
Feb 9, 2009	Paper	Not reported	No comparison	Not reported	SEC filing
Apr 18, 2005	Paper	Not reported	No comparison	Not reported	SEC 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: 021-76132

Source: Form D, filed Jan 4, 2018. 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 SMALL/MID CAP VALUE EQUITY FUND II, L.P.

Investment adviser: ADVISORY RESEARCH INC

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

Reported in Form ADV on Mar 29, 2019. 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

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 1271542 · Mar 29, 2019 · Schedule D 7.B.(1), fund 805-7263113686

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
Name	Reported role
Heather Calby	Executive
Timothy L Carter	Executive
Tim Carter	Executive
Christopher Crawshaw	Director, Executive
Jim Cunnane	Director, Executive
John Gallop	Director
David B. Heller	Executive
Cari Ann Hopfensperger	Executive
Cari Ann Hpofensperger	Executive
Laura Moret	Executive
Brien O'brien	Director
Debbra Schoneman	Director
Thomas Smith	Director
Susan Steiner	Executive
Matthew Swaim	Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

180 North Stetson Suite 5500
Chicago, IL, 60601