Form D · Hedge Fund

AXA IM International Small Cap Fund, LLC

Orinda, CA · CIK 0001578565

Offering snapshot reported Jul 14, 2017 · SEC filing

Reported sold: $9.8M
Investors reported: 1
Minimum accepted: $1M
First sale: Jun 6, 2013

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
Jul 14, 2017	Amendment	$9,800,000	$0vs Jul 14, 2016	1	SEC filing
Jul 14, 2016	Amendment	$9,800,000	$0vs Jul 13, 2015	1	SEC filing
Jul 13, 2015	Amendment	$9,800,000	$0vs Jun 26, 2014	1	SEC filing
Jun 26, 2014	Amendment	$9,800,000	$0vs Jun 17, 2013	1	SEC filing
Jun 17, 2013	Initial	$9,800,000	No comparison	1	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: 021-198120

There are no placement agent arrangements. The Fund will be offered by employees of an affiliate, AXA Investment Managers, Inc., who also are associated with an unaffiliated broker-dealer that is not separately compensated for sales.

Source: Form D, filed Jul 14, 2017. 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 INTERNATIONAL SMALL CAP FUND, LLC

Investment adviser: AXA ROSENBERG INVESTMENT MANAGEMENT LLC

Gross asset value: $12.3M
Beneficial owners: 1
ADV minimum commitment: $1M

Reported in Form ADV on Sep 28, 2017. 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

AXA INVESTMENT MANAGERS INC
CRD 113608 · SEC 801-60374

Filing source

Form ADV 1143506 · Sep 28, 2017 · Schedule D 7.B.(1), fund 805-6935330129

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
N/A N/A Axa Rosenberg Investment Management Llc	Promoter
Will Jump	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

4 Orinda Way Building E
Orinda, CA, 94563