Form D · Private Equity Fund

HKW CAPITAL PARTNERS IV-A, L.P.

New York, NY · CIK 0001552931

Offering snapshot reported Jul 15, 2013 · SEC filing

Reported sold: $127M
Investors reported: 27
Minimum accepted: $0
First sale: Jul 18, 2012

What changed?

Latest filing versus its linked predecessor, where available.

Reported investors0 → 27

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jul 15, 2013	Amendment	$127,252,291	No comparison	27	SEC filing
Jul 16, 2012	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $3.84M (estimated)
Finders' fees: $0
Form D file number: 021-181335

HKW Management IV, L.P. (the "General Partner" of the Issuer), reserves the right to offer a greater or lesser amount of limited partner interests.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
BASS CREEK ADVISORS, LTD.	140578

Source: Form D, filed Jul 15, 2013. 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

HKW CAPITAL PARTNERS IV-A, L.P.

Investment adviser: HAMMOND, KENNEDY, WHITNEY & COMPANY, INC.

Gross asset value: $17.8M
Beneficial owners: 43
ADV minimum commitment: $5M

Reported in Form ADV on Mar 31, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator PKF O'CONNOR DAVIES, LLP WOODCLIFF LAKE, New Jersey, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor GRANT THORNTON LLP NEW YORK, New York, United States

Custodian COMERICA BANK SAN JOSE, California, United States Related to adviser: No

Custodian DELAWARE TRUST COMPANY WILMINGTON, Delaware, 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

GRANT THORNTON LLP
PCAOB 248

COMERICA BANK
LEI 70WY0ID1N53Q4254VH70

Filing source

Form ADV 2075821 · Mar 31, 2026 · Schedule D 7.B.(1), fund 805-1839776791

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
Mark T. Becker	Executive, Promoter
John M. Carsello	Executive, Promoter
Michael A. Foisy	Executive, Promoter
Ted H. Kramer	Executive, Promoter
Julianne S. Lis Milam	Executive, Promoter
Luke A, Phenicie	Executive, Promoter
Constantine J. Rakkou	Executive, Promoter
Glenn Scolnik	Executive, Promoter
James C. Snyder	Executive, Promoter
Jeffrey G. Wood	Executive, Promoter
Caroline L. Young	Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

420 Lexington Avenue, Suite 402
New York, NY, 10170