Form D · Other Investment Fund

EACM Small Cap Value Equity Fund

Norwalk, CT · CIK 0001075666

Offering snapshot reported Mar 12, 2014 · SEC filing

Reported sold
$179M
Indefinite offering
Investors reported
27
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Sep 1, 1998
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$89.4M$179MMar 9, 2009Mar 15, 2010: $32,361,516.00Mar 15, 2010Mar 10, 2011: $32,361,516.00Mar 10, 2011Mar 12, 2012: $32,361,516.00Mar 12, 2012Mar 12, 2013: $32,361,516.00Mar 12, 2013Mar 12, 2014: $178,720,496.00Mar 12, 2014

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$32,361,516 → $178,720,496
  • Reported investors16 → 27

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Mar 12, 2014Amendment$178,720,496$146,358,980vs Mar 12, 201327SEC filing
Mar 12, 2013Amendment$32,361,516$0vs Mar 12, 201216SEC filing
Mar 12, 2012Amendment$32,361,516$0vs Mar 10, 201116SEC filing
Mar 10, 2011Amendment$32,361,516$0vs Mar 15, 201016SEC filing
Mar 15, 2010Amendment$32,361,516No comparison16SEC filing
Mar 9, 2009PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-128136

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
MBSC Securities Corp.231

Source: Form D, filed Mar 12, 2014. 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

EACM SMALL CAP VALUE EQUITY FUND

Investment adviser: EACM ADVISORS LLC

Gross asset value
$12.9M
Beneficial owners
11
ADV minimum commitment
$500K

Reported in Form ADV on Oct 3, 2014. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes
Auditor GRANT THORNTON LLP NEW YORK, New York, United States
Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: Yes
Marketer MBSC SECURITIES CORPORATION NEW YORK, New York, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

MBSC SECURITIES CORPORATION
CRD 231 · SEC 801-54739

Filing source

Form ADV 848046 · Oct 3, 2014 · Schedule D 7.B.(1), fund 805-8516966638

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
Bny Mellon Trust Of Delaware Bny Mellon Trust Of Delaware Executive
Bny Mellon Trust Of Delaware Executive
Eacm Advisors Llc Eacm Advisors Llc Executive
Eacm Advisors Llc Executive
Mellon Bank Delaware Business Trust Mellon Bank Delaware Business Trust Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
200 Connecticut Avenue, 6 Th Floor
Norwalk, CT, 06854-1940