Form D · Other Investment Fund
DRIEHAUS SMALL CAP INVESTORS LP
Chicago, IL · CIK 0001094183
Offering snapshot reported Mar 14, 2017 · SEC filing
- Reported sold
- $20.2M Indefinite offering
- Investors reported
- 69 Form D · investor count
- Minimum accepted
- $150K Reported outside-investor minimum
- First sale
- Jul 10, 1999 As reported in this filing
Fundraising history
Reported soldDates 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$19,999,508 → $20,167,412
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 14, 2017 | Amendment | $20,167,412 | $167,904vs Mar 14, 2016 | 69 | SEC filing |
| Mar 14, 2016 | Amendment | $19,999,508 | $1,159,138vs Mar 12, 2015 | 69 | SEC filing |
| Mar 12, 2015 | Amendment | $18,840,370 | $248,380vs Mar 12, 2014 | 60 | SEC filing |
| Mar 12, 2014 | Amendment | $18,591,990 | $108,446vs Mar 12, 2013 | 59 | SEC filing |
| Mar 12, 2013 | Amendment | $18,483,544 | $219,000vs Mar 12, 2012 | 59 | SEC filing |
| Mar 12, 2012 | Amendment | $18,264,544 | $160,700vs Mar 11, 2011 | 57 | SEC filing |
| Mar 11, 2011 | Amendment | $18,103,844 | $391,000vs Mar 11, 2010 | 57 | SEC filing |
| Mar 11, 2010 | Amendment | $17,712,844 | $2,426,832vs Mar 12, 2009 | 57 | SEC filing |
| Mar 12, 2009 | Amendment | $15,286,012 | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $100 (estimated)
- Finders' fees
- $0
- Form D file number
- 021-87137
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
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| 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 SMALL CAP INVESTORS, L.P.
Investment adviser: DRIEHAUS CAPITAL MANAGEMENT LLC
- Gross asset value
- $2.86M
- Beneficial owners
- 15
- ADV minimum commitment
- $150K
Reported in Form ADV on Feb 15, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
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 805-5761965881
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.
| 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:Chicago, IL, 60611