Form D · Other Investment Fund

Fisher Investments Institutional Group Small Cap Value Fund

Camas, WA · CIK 0001609845

Offering snapshot reported May 23, 2019 · SEC filing

Reported sold: $45.2M
Investors reported: 2
Minimum accepted: $5M
First sale: Jun 2, 2014

Fundraising history

Reported sold

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.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
May 23, 2019	Amendment	$45,194,868	$0vs May 25, 2018	2	SEC filing
May 25, 2018	Amendment	$45,194,868	$5,900,049vs Jun 7, 2017	2	SEC filing
Jun 7, 2017	Initial	$39,294,819	No comparison	1	SEC filing
Jun 9, 2016	Amendment	$36,330,613	$0vs Jun 13, 2014	1	SEC filing
Jun 15, 2015	Amendment	$36,356,196	$25,583vs Jun 13, 2014	1	SEC filing
Jun 13, 2014	Initial	$36,330,613	No comparison	1	SEC 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: 021-288197

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
None	None

Source: Form D, filed May 23, 2019. 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

FISHER INVESTMENTS INSTITUTIONAL GROUP SMALL CAP VALUE FUND

Investment adviser: FISHER ASSET MANAGEMENT, LLC

Gross asset value: $69.2M
Beneficial owners: 3
ADV minimum commitment: $5M

Reported in Form ADV on Sep 30, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELIOTTE & TOUCHE LLP CHICAGO, Illinois, United States

Custodian NORTHERN TRUST COMPANY CHICAGO, Illinois, 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

DELIOTTE & TOUCHE LLP
PCAOB 34

Filing source

Form ADV 1457730 · Sep 30, 2020 · Schedule D 7.B.(1), fund 805-3026703900

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
Kenneth L Fisher	Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

5525 Nw Fisher Creek Drive
Camas, WA, 98607