Form D · Hedge Fund
Fundamental LP
Pasadena, CA · CIK 0001336444
Offering snapshot reported Mar 13, 2017 · SEC filing
- Reported sold
- $74M Indefinite offering
- Investors reported
- 95 Form D · investor count
- Minimum accepted
- $500K Reported outside-investor minimum
- First sale
- Mar 3, 1986 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.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 13, 2017 | Amendment | $73,975,411 | $0vs Mar 10, 2016 | 95 | SEC filing |
| Mar 10, 2016 | Amendment | $73,975,411 | $0vs May 22, 2015 | 95 | SEC filing |
| May 22, 2015 | Amendment | $73,975,411 | $0vs Apr 8, 2015 | 95 | SEC filing |
| Apr 8, 2015 | Amendment | $73,975,411 | $400,000vs Apr 15, 2014 | 95 | SEC filing |
| Apr 15, 2014 | Amendment | $73,575,411 | $11,080,959vs May 10, 2013 | 95 | SEC filing |
| May 10, 2013 | Amendment | $62,494,452 | -$7,591,161vs Jun 11, 2012 | 109 | SEC filing |
| Jun 11, 2012 | Amendment | $70,085,613 | $31,195,051vs Oct 12, 2011 | 91 | SEC filing |
| Oct 12, 2011 | Amendment | $38,890,562 | $7,556,853vs Nov 10, 2010 | 83 | SEC filing |
| Nov 10, 2010 | Amendment | $31,333,709 | $5,155,677vs Jun 10, 2010 | 68 | SEC filing |
| Jun 10, 2010 | Amendment | $26,178,032 | $7,002,687vs May 12, 2009 | 58 | SEC filing |
| May 12, 2009 | Initial | $19,175,345 | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-80211
The reported amount sold and number of investors represents contributions by all investors in the fund since inception. The current assets under management and current number of investors may be significantly different.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Al Slayton | 426278 | Newport Coast Securities, Inc. · CRD 16944 |
| Doug DeGroote | None | |
| Robert Lingle | 1361471 | Hedgeharbor Inc. · CRD 44324 |
| Mark Rawlings | 1762750 | Girard Securities, Inc. · CRD 18697 |
| Mitch Little, II | 1701341 | Coronado Investments, LLC · CRD 111992 |
Source: Form D, filed Mar 13, 2017. 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
FUNDAMENTAL LP
Investment adviser: FUNDAMENTAL CAPITAL MANAGEMENT LLC
- Gross asset value
- $42.6M
- Beneficial owners
- 67
- ADV minimum commitment
- $500K
Reported in Form ADV on Sep 13, 2012. 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
- Yes
GIRARD SECURITIES, INC.
CRD 18697 · SEC 801-61470
NEWPORT COAST ASSET MANAGEMENT
CRD 16944 · SEC 801-67802
Filing source
Form ADV 669728 · Sep 13, 2012 · Schedule D 7.B.(1), fund 805-9330158267
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 |
|---|---|
| N/A Fundamental Capital Management Llc | Executive |
| John Woodrow Krieger | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Pasadena, CA, 91101