Form D · Hedge Fund

AXA IM Global Emerging Markets Small Cap Fund, LLC

Greenwich, CT · CIK 0001616570

Offering snapshot reported Sep 11, 2020 · SEC filing

Reported sold
$94.1M
Indefinite offering
Investors reported
17
Form D · investor count
Minimum accepted
$5M
Reported outside-investor minimum
First sale
May 13, 2015
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$47.1M$94.1MSep 17, 2014Sep 8, 2015: $16,300,000.00Sep 14, 2016: $16,300,000.00Sep 14, 2017: $16,300,000.00Sep 14, 2018: $69,100,000.00Sep 13, 2019: $89,101,000.00Sep 11, 2020: $94,101,000.00Sep 11, 2020

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$89,101,000 → $94,101,000

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Sep 11, 2020Amendment$94,101,000$5,000,000vs Sep 13, 201917SEC filing
Sep 13, 2019Amendment$89,101,000$20,001,000vs Sep 14, 201817SEC filing
Sep 14, 2018Amendment$69,100,000$52,800,000vs Sep 14, 201716SEC filing
Sep 14, 2017Amendment$16,300,000$0vs Sep 14, 20166SEC filing
Sep 14, 2016Amendment$16,300,000$0vs Sep 8, 20158SEC filing
Sep 8, 2015Amendment$16,300,000No comparison8SEC filing
Sep 17, 2014InitialYet to sellNo comparison0SEC 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
021-224871

Source: Form D, filed Sep 11, 2020. 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

AXA IM GLOBAL EMERGING MARKETS SMALL CAP FUND, LLC

Investment adviser: AXA ROSENBERG INVESTMENT MANAGEMENT LLC

Gross asset value
$15.6M
Beneficial owners
11
ADV minimum commitment
$1M

Reported in Form ADV on Mar 30, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States
Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No
Marketer AXA INVESTMENT MANAGERS INC GREENWICH, Connecticut, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

AXA INVESTMENT MANAGERS INC
CRD 113608 · SEC 801-60374

Filing source

Form ADV 1503011 · Mar 30, 2021 · Schedule D 7.B.(1), fund 805-4992990212

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
Marcello Arona Executive
N/A Axa Investment Managers, Inc. Promoter
Travis Pauley Executive
Xavier Thomin Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
100 West Putnam Avenue, 4 Th Floor
Greenwich, CT, 06830