Form D · Other Investment Fund

DUFF & PHELPS REAL ESTATE SECURITIES TRUST

Chicago, IL · CIK 0001430766

Offering snapshot reported Aug 8, 2013 · SEC filing

Reported sold: $48.1M
Investors reported: 15
Minimum accepted: $1M
First sale: Jan 29, 2004

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Aug 8, 2013	Initial	$48,125,215	No comparison	15	SEC filing
Aug 8, 2012	Amendment	$49,295,819	$17,888,473vs Aug 10, 2011	17	SEC filing
Aug 10, 2011	Amendment	$31,407,346	-$3,857,716vs Aug 10, 2010	12	SEC filing
Aug 10, 2010	Amendment	$35,265,062	$7,526,347vs Aug 11, 2009	16	SEC filing
Aug 11, 2009	Amendment	$27,838,021	No comparison	16	SEC filing
Aug 11, 2009	Amendment	$27,738,715	-$99,306vs Aug 11, 2009	16	SEC filing

Offering details

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

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-201014

Assets Under Management as of 7/31/13

Trust Interests

Source: Form D, filed Aug 8, 2013. 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

DUFF & PHELPS REAL ESTATE SECURITIES TRUST

Investment adviser: DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Gross asset value: $47.4M
Beneficial owners: 17
ADV minimum commitment: $1M

Reported in Form ADV on May 10, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STATE STREET BANK & TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MCGLADREY & PULLEN, LLP CHICAGO, Illinois, United States

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

Provider details

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

Filing source

Form ADV 736856 · May 10, 2013 · Schedule D 7.B.(1), fund 805-5672965574

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
' Duff & Phelps Investment Management Co.	Promoter
Geoffrey Dybas	Executive
Frank Haggerty	Executive
Nathan I Partain	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

200 South Wacker Drive Suite 500
Chicago, IL, 60606