Form D · Hedge Fund

INVESTCORP BALANCED FUND LTD

Grand Cayman, E9 · CIK 0001474124

Offering snapshot reported May 7, 2013 · SEC filing

Reported sold
$3.98B
Indefinite offering
Investors reported
184
Form D · investor count
Minimum accepted
$5M
Reported outside-investor minimum
First sale
Apr 1, 2004
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$1.99B$3.98BOct 23, 2009: $2,651,800,105.00Oct 23, 2009Oct 21, 2010: $3,846,178,052.00Oct 21, 2010May 7, 2012: $3,910,281,412.00May 7, 2012May 7, 2013: $3,977,924,951.00May 7, 2013

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$3,910,281,412 → $3,977,924,951
  • Reported investors180 → 184

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 7, 2013Amendment$3,977,924,951$67,643,539vs May 7, 2012184SEC filing
May 7, 2012Amendment$3,910,281,412$64,103,360vs Oct 21, 2010180SEC filing
Oct 21, 2010Amendment$3,846,178,052$1,194,377,947vs Oct 23, 2009180SEC filing
Oct 23, 2009Initial$2,651,800,105No comparison103SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-135554
THE ISSUER DOES NOT PAY ANY SALES COMMISSIONS OR FINDER'S FEES. HOWEVER, THE ISSUER'S INVESTMENT MANAGER PAYS A PORTION OF IT'S ASSET-BASED MANAGEMENT FEE TO IT'S AFFILIATED BROKER-DELAER.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
N.A. INVESTCORP LLC134162

Source: Form D, filed May 7, 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

INVESTCORP BALANCED FUND LIMITED

Investment adviser: INVESTCORP INVESTMENT ADVISERS LIMITED

Gross asset value
$63.3M
Beneficial owners
6
ADV minimum commitment
$5M

Reported in Form ADV on Sep 27, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator INVESTCORP BANK B.S.C. MANAMA, Bahrain Investor statements: Yes (provided to all investors) Related to adviser: Yes
Auditor ERNST & YOUNG LTD GRAND CAYMAN, Cayman Islands
Custodian J.P. MORAGE TRUST CO CAYMAN GEORGE TOWN, Cayman Islands Related to adviser: No
Marketer INVESTCORP BANK B.S.C. MANAMA, Bahrain Related to adviser: Yes
Marketer N.A. INVESTCORP LLC NEW YORK, New York, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

N.A. INVESTCORP LLC
CRD 134162 · SEC 8-66812

Filing source

Form ADV 755740 · Sep 27, 2013 · Schedule D 7.B.(1), fund 805-6263154681

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
Janick Fierens Director
N/A Investcorp Investment Advisers Limited Promoter
Rishi Kapoor Director
Stuart Marshall Director
Mufeed Rajab Director
Harsh Shethia Director
Craig Sinfield Hain Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O Paget Brown Trust Company Limited Boundary Hall, Cricket Sq., Po Box 1111
Grand Cayman, E9, 0000000