Form D · Other Investment Fund

Barrow, Hanley, Mewhinney & Strauss Diversified Small Cap Value Fund

Boston, MA · CIK 0001405797

Offering snapshot reported Dec 9, 2011 · SEC filing

Reported sold
$5M
Indefinite offering
Investors reported
1
Form D · investor count
Minimum accepted
$3M
Reported outside-investor minimum
First sale
Dec 18, 2006
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$2.5M$5MJul 3, 2007Dec 11, 2009: $5,000,000.00Dec 11, 2009Dec 6, 2010: $5,000,000.00Dec 6, 2010Dec 9, 2011: $5,000,000.00Dec 9, 2011

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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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Dec 9, 2011Amendment$5,000,000$0vs Dec 6, 20101SEC filing
Dec 6, 2010Amendment$5,000,000$0vs Dec 11, 20091SEC filing
Dec 11, 2009Amendment$5,000,000No comparison1SEC filing
Jul 3, 2007PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund, Other
Exemptions
06, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-105578
Commingled investment trust interests

Source: Form D, filed Dec 9, 2011. 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

BARROW HANLEY MEWHINNEY & STRAUSS DIVERSIFIED SMALL CAP VALUE FUND

Investment adviser: BARROW, HANLEY, MEWHINNEY & STRAUSS, LLC

Gross asset value
$6.75M
Beneficial owners
1
ADV minimum commitment
$3M

Reported in Form ADV on Apr 17, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator OLD MUTUAL ASSET MANAGEMENT TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes
Auditor PRICE WATERHOUSE COOPERS LLP BOSTON, Massachusetts, United States
Custodian BANK OF NY MELLON NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Filing source

Form ADV 640952 · Apr 17, 2012 · Schedule D 7.B.(1), fund 805-5636527384

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
Brian Dillon Executive
Linda T. Gibson Director
Joan R. Gulinello Executive
Mary J. Kirby Director
Karen F. Kupferberg Director
Vincent Manning Executive
Eric L. Marhoun Director
Robert D. Mc Dorman, Jr. Director
Kathy Nicholl Executive
N/A Old Mutual Asset Management Trust Co Promoter
Ruth E. Paul Executive
Peter L. Rollins Director
Stephen T. Scott Director
David H. Smith Director
Virginia M. Turner Executive
Thomas M. Turpin Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Old Mutual Asset Management Trust Co 200 Clarendon Street, 52 Nd Floor
Boston, MA, 02116