Form D · Other Investment Fund

HarborWalk Risk Parity Fund V12, L.P.

Boston, MA · CIK 0001544371

Offering snapshot reported Aug 12, 2019 · SEC filing

Reported sold
$240M
Indefinite offering
Investors reported
107
Form D · investor count
Minimum accepted
$500K
Reported outside-investor minimum
First sale
Mar 1, 2012
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$120M$240MMar 15, 2012: $60,010,000.00Mar 15, 2012Apr 16, 2012: $107,995,000.00May 15, 2012: $168,832,000.00Jun 14, 2012: $180,105,700.00Jul 13, 2012: $182,610,700.00Aug 14, 2012: $184,210,200.00Sep 13, 2012: $186,686,678.00Oct 15, 2012: $190,697,684.00Feb 15, 2013: $195,007,714.00Jun 17, 2013: $203,075,066.00Aug 16, 2013: $203,297,716.00May 14, 2014: $206,873,716.00Jun 12, 2014: $207,728,716.00Jun 12, 2015: $214,872,550.00Jun 16, 2016: $238,658,721.00Jun 14, 2017: $238,658,721.00Jun 14, 2018: $238,658,721.00Aug 12, 2019: $239,980,101.00Aug 12, 2019

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$238,658,721 → $239,980,101
  • Reported investors101 → 107

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Aug 12, 2019Amendment$239,980,101$1,321,380vs Jun 14, 2018107SEC filing
Jun 14, 2018Amendment$238,658,721$0vs Jun 14, 2017101SEC filing
Jun 14, 2017Amendment$238,658,721$0vs Jun 16, 2016101SEC filing
Jun 16, 2016Amendment$238,658,721$23,786,171vs Jun 12, 2015104SEC filing
Jun 12, 2015Amendment$214,872,550$7,143,834vs Jun 12, 201498SEC filing
Jun 12, 2014Amendment$207,728,716$855,000vs May 14, 201493SEC filing
May 14, 2014Amendment$206,873,716$3,576,000vs Aug 16, 201392SEC filing
Aug 16, 2013Amendment$203,297,716$222,650vs Jun 17, 201388SEC filing
Jun 17, 2013Amendment$203,075,066$8,067,352vs Feb 15, 201387SEC filing
Feb 15, 2013Amendment$195,007,714$4,310,030vs Oct 15, 201288SEC filing
Oct 15, 2012Amendment$190,697,684$4,011,006vs Sep 13, 201282SEC filing
Sep 13, 2012Amendment$186,686,678$4,075,978vs Jul 13, 201279SEC filing
Aug 14, 2012Amendment$184,210,200$1,599,500vs Jul 13, 201278SEC filing
Jul 13, 2012Amendment$182,610,700$2,505,000vs Jun 14, 201277SEC filing
Jun 14, 2012Amendment$180,105,700$11,273,700vs May 15, 201274SEC filing
May 15, 2012Amendment$168,832,000$60,837,000vs Apr 16, 201263SEC filing
Apr 16, 2012Amendment$107,995,000$47,985,000vs Mar 15, 201240SEC filing
Mar 15, 2012Initial$60,010,000No comparison20SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$864K (estimated)
Finders' fees
$0
Form D file number
021-174969

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
N/ANoneSalient Capital, L.P. · CRD 147912
Phillip M. Plant364393Herndon Plan Oakley, Ltd. · CRD 44971

Source: Form D, filed Aug 12, 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

HARBORWALK RISK PARITY FUND V12, L.P.

Investment adviser: MELLON INVESTMENTS CORPORATION

Gross asset value
$2.5M
Beneficial owners
5
ADV minimum commitment
$500K

Reported in Form ADV on Oct 16, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C TECHNOLOGIES, INC. IRVING, Texas, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG COLUMBUS, Ohio, United States
Custodian CITIBANK, N.A. NEW YORK, New York, United States Related to adviser: No
Marketer BNY MELLON SECURITIES CORPORATION NEW YORK CITY, New York, United States Related to adviser: Yes
Marketer HIGHTOWER SECURITIES, LLC 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
Yes

KPMG
PCAOB 185

CITIBANK, N.A.
LEI E570DZWZ7FF32TWEFA76

BNY MELLON SECURITIES CORPORATION
CRD 231 · SEC 801-54739

HIGHTOWER SECURITIES, LLC
CRD 116681 · SEC 8-53560

Filing source

Form ADV 1461662 · Oct 16, 2020 · Schedule D 7.B.(1), fund 805-6138500215

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
Christopher R. Arnold Executive
Paul A. Bachtold Executive
John A. Blaisdell Executive
Roberto Croce Executive
Jonathan De Priest Executive
William R. Guinn Executive
N/A Harborwalk Alternatives I Gp, Llc Executive
Andrew B. Linbeck Executive
James Desmond Mac Intyre Executive
N/A Mellon Investments Corporation Promoter
Robert S. Naka Executive
Alex Over Executive
Lee G. Partridge Executive
John E. Price Executive
Jeremy L. Radcliffe Executive
N/A N/A Salient Capital Management, Llc Executive
N/A N/A Salient Liquid Alts Gp, Llc Executive
N/A N/A Salient Liquid Alts Gp, L.P. Executive
N/A N/A Salient Risk Parity Fund Gp, Llc Executive
Adam Thomas Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
One Boston Place 201 Washington Street
Boston, MA, 02108