Form D · Other Investment Fund

Barrow, Hanley, Mewhinney & Strauss High Yield Fixed Income Fund

Dallas, TX · CIK 0001405795

Offering snapshot reported Apr 1, 2022 · SEC filing

Reported sold
$305M
Indefinite offering
Investors reported
29
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Feb 2, 2007
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$153M$305MJul 22, 2013: $193,774,831.00Jul 22, 2013Jul 31, 2014: $227,149,831.00Aug 3, 2015: $189,569,767.00Jul 28, 2016: $243,134,831.00Jul 31, 2017: $243,634,831.00Aug 2, 2018: $248,286,831.00Jul 2, 2019: $249,686,831.00Jun 26, 2020: $263,039,830.00Apr 1, 2022: $305,068,830.00Apr 1, 2022

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$263,039,830 → $305,068,830
  • Reported investors26 → 29

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 1, 2022Amendment$305,068,830$42,029,000vs Jun 26, 202029SEC filing
Jun 26, 2020Amendment$263,039,830$13,352,999vs Jul 2, 201926SEC filing
Jul 2, 2019Amendment$249,686,831$55,912,000vs Jul 22, 201327SEC filing
Aug 2, 2018Amendment$248,286,831$4,652,000vs Jul 31, 201728SEC filing
Jul 31, 2017Amendment$243,634,831$500,000vs Jul 28, 201629SEC filing
Jul 28, 2016Amendment$243,134,831$53,565,064vs Aug 3, 201529SEC filing
Aug 3, 2015Amendment$189,569,767-$37,580,064vs Jul 31, 201427SEC filing
Jul 31, 2014Amendment$227,149,831$33,375,000vs Jul 22, 201330SEC filing
Jul 22, 2013Initial$193,774,831No comparison30SEC filing
Feb 8, 2013Amendment$96,698,704-$37,726,126vs Dec 21, 201225SEC filing
Dec 21, 2012Amendment$134,424,830$0vs Aug 20, 201225SEC filing
Aug 20, 2012Amendment$134,424,830$12,250,000vs Dec 9, 201125SEC filing
Dec 9, 2011Amendment$122,174,830$0vs Jun 21, 201124SEC filing
Jun 21, 2011Amendment$122,174,830$8,894,999vs Dec 6, 201024SEC filing
Dec 6, 2010Amendment$113,279,831$18,765,000vs Dec 22, 200921SEC filing
Dec 22, 2009Amendment$94,514,831$16,153,348vs Sep 4, 200911SEC filing
Sep 4, 2009Amendment$78,361,483No comparison10SEC filing
Jul 5, 2007PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-199996

Source: Form D, filed Apr 1, 2022. 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 HIGH YIELD FIXED INCOME FUND

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

Gross asset value
$103M
Beneficial owners
16
ADV minimum commitment
$3M

Reported in Form ADV on Feb 25, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NORTHEAST RETIREMENT SERVICES WOBURN, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICE WATERHOUSE COOPERS LLP BOSTON, Massachusetts, United States
Custodian BANK OF NY MELLON NEW YORK, New York, United States Related to adviser: No
Marketer PERPETUAL US SERVICES LLC BOSTON, Massachusetts, 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

PRICE WATERHOUSE COOPERS LLP
PCAOB 238

Filing source

Form ADV 1609305 · Feb 25, 2022 · Schedule D 7.B.(1), fund 805-9467917326

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
N/A Barrow Hanley Investment Funds Llc Director
N/A Barrow, Hanley, Mewhinney & Strauss, Llc Director
Stephen H. Belgrad Director, Executive
John S. Cotner Director
Brian Dillon Executive
Neal Garvey Executive
Linda T. Gibson Director
Joan R. Gulinello Executive
Mary J. Kirby Director
Karen F. Kupferberg Director
Daniel Mahoney Executive
Vincent Manning Executive
Eric L. Marhoun Director
Cory Martin Director, Executive
Thomas M. Mc Clain Executive
Robert D. Mc Dorman, Jr. Director
Thomas M. Mc Lain Executive
Kathy Nicholl Executive
N/A Old Mutual Asset Management Trust Co Promoter
N/A Old Mutual Asset Management Trust Company (Omam Trust Co) Promoter
Robert E. Patterson Director
Ruth E. Paul Executive
Kevin G. Quinn Director
Suren S. Rana Director, 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:
2200 Ross Avenue 31st Floor
Dallas, TX, 75201