Form D · Hedge Fund
First Quadrant Essential Beta Fund Ltd.
Pasadena, CA · CIK 0001479077
Offering snapshot reported Mar 17, 2020 · SEC filing
- Reported sold
- $747M Offering amount: $5.99B
- Investors reported
- 3 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- Jan 4, 2010 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$942,626,728 → $747,402,763
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 17, 2020 | Amendment | $747,402,763 | -$195,223,965vs Feb 4, 2019 | 3 | SEC filing |
| Feb 4, 2019 | Amendment | $942,626,728 | -$54vs Feb 2, 2018 | 3 | SEC filing |
| Feb 2, 2018 | Amendment | $942,626,782 | -$255,566,467vs Feb 2, 2017 | 3 | SEC filing |
| Feb 2, 2017 | Amendment | $1,198,193,249 | $0vs Jul 18, 2016 | 3 | SEC filing |
| Jul 18, 2016 | Amendment | $1,198,193,249 | -$661,243,270vs Jul 16, 2015 | 3 | SEC filing |
| Jul 16, 2015 | Amendment | $1,859,436,519 | $1,744,319,332vs Jun 30, 2014 | 6 | SEC filing |
| Jun 30, 2014 | Amendment | $115,117,187 | -$1,154,169,250vs Jul 22, 2013 | 6 | SEC filing |
| Jul 22, 2013 | Amendment | $1,269,286,437 | $856,484,578vs Aug 16, 2012 | 6 | SEC filing |
| Aug 16, 2012 | Amendment | $412,801,859 | $0vs Feb 7, 2012 | 2 | SEC filing |
| Feb 7, 2012 | Amendment | $412,801,859 | $165,571,459vs Jun 30, 2011 | 2 | SEC filing |
| Jun 30, 2011 | Amendment | $247,230,400 | $0vs Dec 29, 2010 | 2 | SEC filing |
| Dec 29, 2010 | Amendment | $247,230,400 | $147,230,400vs Jan 14, 2010 | 2 | SEC filing |
| Jan 14, 2010 | Initial | $100,000,000 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-137795
As of 12/31/2019
Source: Form D, filed Mar 17, 2020. 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
FQ ESSENTIAL BETA FUND LTD.
Investment adviser: FIRST QUADRANT, LLC
- Gross asset value
- $0
- Beneficial owners
- 0
- ADV minimum commitment
- $1M
Reported in Form ADV on Aug 12, 2022. 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
- Yes
- External marketing
- No
KPMG
PCAOB 1323
Filing source
Form ADV 1667738 · Aug 12, 2022 · Schedule D 7.B.(1), fund 805-5360788194
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 |
|---|---|
| Joel L Brouwer | Director, Executive |
| Nathaniel Dalton | Director |
| R. Max Darnell | Executive |
| Chuck Fannin | Executive |
| Kenneth J. Ferguson | Executive |
| Lp First Quadrant | Promoter |
| Joseph A. Germain | Director |
| Affiliated Managers Group | Executive |
| Curtis J Ketterer | Executive |
| Stephane Lachance | Director |
| Dori Levanoni | Executive |
| Christopher G. Luck | Executive |
| Timothy Meckel | Director |
| Jeff Murphy | Director |
| Ed E. Peters | Executive |
| Roger Priaulx | Director |
| Kent C. Roberts Ii | Executive |
| Darren Stainrod | Director |
| Jia Ye | Executive |
| Jia Yia | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Pasadena, CA, 91101