Form D · Hedge Fund

DUNBAR CAPITAL MANAGEMENT LLC

New York, NY · CIK 0001138756

Offering snapshot reported Mar 21, 2016 · SEC filing

Reported sold
$77.1M
Indefinite offering
Investors reported
231
Form D · investor count
Minimum accepted
$250K
Reported outside-investor minimum
First sale
Jul 1, 1996
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$38.6M$77.1MMar 17, 2010: $72,140,278.00Mar 17, 2010Mar 17, 2011: $73,575,278.00Mar 19, 2012: $74,825,278.00Mar 19, 2013: $77,025,774.00Mar 19, 2014: $77,025,774.00Mar 19, 2015: $77,100,774.00Mar 21, 2016: $77,100,774.00Mar 21, 2016

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 investors230 → 231

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 21, 2016Amendment$77,100,774$0vs Mar 19, 2015231SEC filing
Mar 19, 2015Amendment$77,100,774$75,000vs Mar 19, 2014230SEC filing
Mar 19, 2014Amendment$77,025,774$0vs Mar 19, 2013229SEC filing
Mar 19, 2013Amendment$77,025,774$2,200,496vs Mar 19, 2012229SEC filing
Mar 19, 2012Amendment$74,825,278$1,250,000vs Mar 17, 2011227SEC filing
Mar 17, 2011Amendment$73,575,278$1,435,000vs Mar 17, 2010222SEC filing
Mar 17, 2010Amendment$72,140,278No comparison217SEC filing
Mar 17, 2009Amendment$68,881,935No comparisonNot reportedSEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$4.24M (estimated)
Form D file number
021-60744

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Lincoln Financial Advisors Corp.3978
Summit Equities, Inc.11039
LPL Financial Services6413
AXA Advisors, LLC6627
Securities America Inc.10205
Strategic Financial Alliance, Inc.126514
Sanders Morris Harris20580
Donald K. Gross1913749
Ryan Beck & Co.3248
Commonwealth Financial Network8032
FSC Securities Corporation7461
First Heartland Capital, Inc.32460
Global Equity Holdings, LLC111348
Triad Advisors, Inc.25803

Source: Form D, filed Mar 21, 2016. 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

DUNBAR CAPITAL MANAGEMENT, LLC

Investment adviser: DUNBAR CAPITAL INVESTORS, LLC

Gross asset value
$11.7M
Beneficial owners
30
ADV minimum commitment
$250K

Reported in Form ADV on Mar 30, 2016. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NAV CONSULTING, INC. OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor BDO USA, LLP NEW YORK, New York, United States
Custodian BANK OF AMERICA NA NEW YORK, New York, United States Related to adviser: No
Custodian SIGNATURE BANK NEW YORK, New York, United States Related to adviser: No
Marketer AXA ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No
Marketer COMMONWEALTH FINANCIAL NETWORK WALTHAM, Massachusetts, United States Related to adviser: No
Marketer FIRST HEARTLAND CAPITAL, INC. ST. LOUIS, Missouri, United States Related to adviser: No
Marketer GLOBAL EQUITY HOLDINGS, LLC LEBANON, New Jersey, United States Related to adviser: No
Marketer LINCOLN FINANCIAL ADVISORS CORPORATION HARTFORD, Connecticut, United States Related to adviser: No
Marketer LINCOLN INVESTMENT PLANNING, LLC WYNCOTE, Pennsylvania, United States Related to adviser: No
Marketer LPL FINANCIAL LLC BOSTON, Massachusetts, United States Related to adviser: No
Marketer SECURITIES AMERICA, INC. LA VISTA, Nevada, United States Related to adviser: No
Marketer SUMMIT EQUITIES INC PARSIPPANY, New Jersey, United States Related to adviser: No
Marketer TRIAD ADVISORS, INC. NORCROSS, Georgia, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

AXA ADVISORS, LLC
CRD 6627 · SEC 801-14065

COMMONWEALTH FINANCIAL NETWORK
CRD 8032 · SEC 801-41541

FIRST HEARTLAND CAPITAL, INC.
CRD 32460 · SEC 8-46008

GLOBAL EQUITY HOLDINGS, LLC
CRD 111348 · SEC 8-53164

LINCOLN FINANCIAL ADVISORS CORPORATION
CRD 3978 · SEC 801-42530

LINCOLN INVESTMENT PLANNING, LLC
CRD 519 · SEC 801-14059

LPL FINANCIAL LLC
CRD 6413 · SEC 801-10970

SECURITIES AMERICA, INC.
CRD 10205 · SEC 8-26602

SUMMIT EQUITIES INC
CRD 11039 · SEC 801-39162

TRIAD ADVISORS, INC.
CRD 25803 · SEC 801-55518

Filing source

Form ADV 997650 · Mar 30, 2016 · Schedule D 7.B.(1), fund 805-1459912868

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
Eugene Major Executive
Rochelle Stern Major Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
850 Third Avenue Suite 20 B
New York, NY, 10022