Form D · Other Investment Fund

DRIEHAUS INSTITUTIONAL SMALL CAP LP

Chicago, IL · CIK 0001094178

Offering snapshot reported Mar 14, 2017 · SEC filing

Reported sold: $58M
Investors reported: 56
Minimum accepted: $500K
First sale: Aug 2, 1999

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.

Reported sold$57,841,697 → $58,023,697
Reported investors54 → 56

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 14, 2017	Amendment	$58,023,697	$182,000vs Mar 14, 2016	56	SEC filing
Mar 14, 2016	Amendment	$57,841,697	$4,447,755vs Mar 12, 2015	54	SEC filing
Mar 12, 2015	Amendment	$53,393,942	$806,985vs Mar 12, 2014	32	SEC filing
Mar 12, 2014	Amendment	$52,586,957	$123,879vs Mar 12, 2013	32	SEC filing
Mar 12, 2013	Amendment	$52,463,078	$70,001vs Mar 12, 2012	32	SEC filing
Mar 12, 2012	Amendment	$52,393,077	$1,000,000vs Mar 11, 2011	32	SEC filing
Mar 11, 2011	Amendment	$51,393,077	$1,528,769vs Mar 11, 2010	31	SEC filing
Mar 11, 2010	Amendment	$49,864,308	-$19,470vs Mar 12, 2009	31	SEC filing
Mar 12, 2009	Amendment	$49,883,778	No comparison	Not reported	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $440 (estimated)
Finders' fees: $0
Form D file number: 021-82961

The Investment Adviser pays up to 20% of its advisory fee to the selling agents - see item 12. The current offering commenced prior to 3/15/09; item 15 reflects the requested information commencing from such date.

Sales compensation recipients

Scroll to see all columns →

Recipient	CRD	Associated broker-dealer
Driehaus Securities LLC	8197

Source: Form D, filed Mar 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

DRIEHAUS INSTITUTIONAL SMALL CAP, L.P.

Investment adviser: DRIEHAUS CAPITAL MANAGEMENT LLC

Gross asset value: $21.1M
Beneficial owners: 26
ADV minimum commitment: $500K

Reported in Form ADV on Feb 15, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor ERNST & YOUNG LLP CHICAGO, Illinois, United States

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Marketer DRIEHAUS SECURITIES LLC CHICAGO, Illinois, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: Yes

ERNST & YOUNG LLP
PCAOB 42

DRIEHAUS SECURITIES LLC
CRD 8197 · SEC 8-24024

Filing source

Form ADV 1177271 · Feb 15, 2018 · Schedule D 7.B.(1), fund 805-9830869850

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
Michelle L. Cahoon	Executive
Richard H. Driehaus	Executive
N/A Driehaus Capital Management Llc	Executive
N/A Driehaus Capital Management (Usvi) Llc	Executive
Robert Gordon	Executive
Jeffrey P. James	Executive
Janet Mc Williams	Executive
Heather S. Paterson	Executive
Mary H. Weiss	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Driehaus Capital Management (Usvi) Llc 25 East Erie Street
Chicago, IL, 60611