Form D · Other Investment Fund

Small Cap Value (Tax-Advantaged) LLC

San Francisco, CA · CIK 0001516890

Offering snapshot reported Mar 27, 2020 · SEC filing

Reported sold: $26.7M
Investors reported: 8
Minimum accepted: $0
First sale: Mar 1, 2011

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
Mar 27, 2020	Amendment	$26,685,116	$0vs Mar 29, 2019	8	SEC filing
Mar 29, 2019	Amendment	$26,685,116	$0vs Mar 29, 2018	8	SEC filing
Mar 29, 2018	Amendment	$26,685,116	$0vs Mar 29, 2017	8	SEC filing
Mar 29, 2017	Amendment	$26,685,116	$0vs Jan 6, 2015	8	SEC filing
Jan 6, 2015	Amendment	$26,685,116	$0vs May 22, 2014	8	SEC filing
May 22, 2014	Amendment	$26,685,116	$4,208,803vs May 24, 2013	8	SEC filing
May 24, 2013	Amendment	$22,476,313	$1,296,326vs May 25, 2012	9	SEC filing
May 25, 2012	Amendment	$21,179,987	$0vs Mar 29, 2011	9	SEC filing
Mar 29, 2011	Initial	$21,179,987	No comparison	9	SEC filing
Mar 29, 2011	Amendment	$21,179,987	$0vs Mar 29, 2011	9	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $3.56K
Finders' fees: $0
Form D file number: 021-157482

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Wells Fargo Funds Distributor, LLC	133366

Source: Form D, filed Mar 27, 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

SMALL CAP VALUE (TAX ADVANTAGED), LLC

Investment adviser: ALLSPRING GLOBAL INVESTMENTS, LLC

Gross asset value: $5.55M
Beneficial owners: 3
ADV minimum commitment: $250K

Reported in Form ADV on Jan 20, 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: No (provided to no investors) Related to adviser: No

Auditor KPMG LLP PHILADELPHIA, Pennsylvania, United States

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Marketer WELLS FARGO FUNDS DISTRIBUTOR, LLC SAN FRANCISCO, California, 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

KPMG LLP
PCAOB 185

WELLS FARGO FUNDS DISTRIBUTOR, LLC
CRD 133366 · SEC 8-66716

Filing source

Form ADV 1475456 · Jan 20, 2021 · Schedule D 7.B.(1), fund 805-5418277643

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
Jon F. Baranko	Director, Executive
Siobhan C. Foy	Executive
J. David Germany	Executive
Kirk D. Hartman	Director, Executive
Amru A. Khan	Executive
Daniel J. Mavico	Executive
Karen L. Norton	Director, Executive
Mai S. Shiver	Executive
Sallie C. Squire	Director, Executive
Incorporated Wells Capital Management	Promoter
For Institutional Investments Wells Fargo Trust	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

525 Market St., 10 Th Floor
San Francisco, CA, 94105