Form D · Hedge Fund

Advisory Research Small Cap Growth Fund, LLC

Chicago, X1 · CIK 0001528317

Offering snapshot reported Nov 4, 2022 · SEC filing

Reported sold
$564K
Indefinite offering
Investors reported
3
Form D · investor count
Minimum accepted
$250K
Reported outside-investor minimum
First sale
Nov 1, 2020
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$282K$564KNov 6, 2020: $100,000.00Nov 6, 2020Nov 5, 2021: $506,000.00Nov 5, 2021Nov 4, 2022: $564,000.00Nov 4, 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$506,000 → $564,000

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 4, 2022Amendment$564,000$58,000vs Nov 5, 20213SEC filing
Nov 5, 2021Amendment$506,000$406,000vs Nov 6, 20203SEC filing
Nov 6, 2020Initial$100,000No comparison1SEC filing
Feb 17, 2016Amendment$3,039,016-$16,481,791vs Feb 17, 201542SEC filing
Feb 17, 2015Amendment$19,520,807-$1,701,068vs Mar 11, 201441SEC filing
Mar 11, 2014Amendment$21,221,875-$4,137,500vs May 22, 201340SEC filing
Jun 11, 2013Amendment$25,359,375$0vs May 22, 201338SEC filing
May 22, 2013Amendment$25,359,375$11,378,325vs Feb 24, 201238SEC filing
Feb 24, 2012Initial$13,981,050No comparison34SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-379974

Source: Form D, filed Nov 4, 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

ADVISORY RESEARCH SMALL CAP GROWTH FUND

Investment adviser: ADVISORY RESEARCH INC

Gross asset value
$4.2M
Beneficial owners
15
ADV minimum commitment
$250K

Reported in Form ADV on Dec 18, 2023. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator ULTIMUS FUND SOLUTIONS LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor TOPEL FORMAN, L.L.C. CHICAGO, Illinois, United States
Custodian JEFFERIES LLC NEW YORK, New York, United States Related to adviser: No
Prime broker JEFFERIES LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

TOPEL FORMAN, L.L.C.
PCAOB 5181

JEFFERIES LLC
SEC 8-15074

JEFFERIES LLC
CRD 2347 · SEC 8-15074

Filing source

Form ADV 1797111 · Dec 18, 2023 · Schedule D 7.B.(1), fund 805-8385497360

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
Gina Baeg Director
Andrew Cupps Executive
Ellen Freeman Director
Matthew Swaim Director
Bruce Zessar Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
180 N. Stetson Suite 5500
Chicago, X1, 60601