Form D · Other Investment Fund
GLOBAL SMALL CAP FUND
Seattle, WA · CIK 0001643950
Offering snapshot reported Nov 30, 2017 · SEC filing
- Reported sold
- $193M Indefinite offering
- Investors reported
- 3 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Apr 30, 2015 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$76,000,000 → $192,616,062
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Nov 30, 2017 | Amendment | $192,616,062 | $116,616,062vs Nov 30, 2016 | 3 | SEC filing |
| Nov 30, 2016 | Amendment | $76,000,000 | $2,000,000vs Jun 10, 2015 | 3 | SEC filing |
| Jul 8, 2016 | Amendment | $76,000,000 | $2,000,000vs Jun 10, 2015 | 3 | SEC filing |
| Jul 9, 2015 | Amendment | $74,000,000 | $0vs Jun 10, 2015 | 3 | SEC filing |
| Jun 10, 2015 | Initial | $74,000,000 | No comparison | 3 | 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
- 021-241399
Russell Investments Implementation Services, LLC is not compensated for its services in connection with this offering out of the offering proceeds or Issuer's assets, or by the Issuer's investors.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Russell Investments Implementation Services, LLC | 21771 |
Source: Form D, filed Nov 30, 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
GLOBAL SMALL CAP FUND
Investment adviser: RUSSELL INVESTMENTS CAPITAL, LLC
- Gross asset value
- $196M
- Beneficial owners
- 3
- ADV minimum commitment
- $0
Reported in Form ADV on Mar 30, 2018. 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
PRICEWATERHOUSECOOPERS LLP
PCAOB 238
STATE STREET BANK & TRUST COMPANY
LEI 571474TGEMMWANRLN572
Filing source
Form ADV 1198952 · Mar 30, 2018 · Schedule D 7.B.(1), fund 805-8429051390
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 |
|---|---|
| Sole Member Frank Russell Company | Promoter |
| Issuer Russell Institutional Funds, Llc | Promoter |
| Managing Member Russell Institutional Funds Management, Llc | Promoter |
| Investment Manager Russell Investment Management Company | Promoter |
| Investment Manager Russell Investments Capital, Llc | Promoter |
| Managing Member Russell Investments Funds Management, Llc | Promoter |
| Issuer Russell Investments Institutional Funds, Llc | Promoter |
| Sole Member Russell Investments Us Institutional Holdco, Inc. | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Seattle, WA, 98101