Form D · Hedge Fund

Cardinal AlternativeFocus Brevan Howard Ltd.

New York, NY · CIK 0001476584

Offering snapshot reported Mar 21, 2016 · SEC filing

Reported sold
$22.4M
Indefinite offering
Investors reported
32
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Nov 1, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$11.2M$22.4MNov 12, 2009: $600,000.00Nov 12, 2009Nov 4, 2010: $750,000.00Apr 18, 2011: $13,915,000.00Mar 30, 2012: $14,165,000.00Apr 1, 2013: $14,665,000.00Apr 1, 2014: $17,015,000.00Mar 30, 2015: $21,509,693.00Sep 3, 2015: $22,405,348.00Mar 21, 2016: $22,405,349.00Mar 21, 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$22,405,348 → $22,405,349

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 21, 2016Amendment$22,405,349$1vs Sep 3, 201532SEC filing
Sep 3, 2015Amendment$22,405,348$895,655vs Mar 30, 201532SEC filing
Mar 30, 2015Amendment$21,509,693$4,494,693vs Apr 1, 201431SEC filing
Apr 1, 2014Amendment$17,015,000$2,350,000vs Apr 1, 201332SEC filing
Apr 1, 2013Amendment$14,665,000$500,000vs Mar 30, 201232SEC filing
Mar 30, 2012Amendment$14,165,000$250,000vs Apr 18, 201128SEC filing
Apr 18, 2011Amendment$13,915,000$13,165,000vs Nov 4, 201027SEC filing
Nov 4, 2010Amendment$750,000$150,000vs Nov 12, 20093SEC filing
Nov 12, 2009Initial$600,000No comparison1SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$1.32M (estimated)
Finders' fees
$0
Form D file number
021-136039
Responses in Items #13 and #14 are estimates.
Estimate is projected through the next 12 months.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Barclays Capital Inc.19714Barclays Capital Inc. · CRD 19714
STIFEL, NICOLAUS & COMPANY, INCORPORATED793STIFEL, NICOLAUS & COMPANY, INCORPORATED · CRD 793

Source: Form D, filed Mar 21, 2016. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

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
Lisa Alexander Director
Laren Gillespie Director
Michelle Wilson Clarke Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
1095 Avenue Of The America, Fl 4
New York, NY, 10036