Form D · Hedge Fund

LOWER WACKER SMALL CAP INVESTMENT FUND LLC

Chicago, IL · CIK 0001276687

Offering snapshot reported Nov 29, 2018 · SEC filing

Reported sold
$25.9M
Indefinite offering
Investors reported
85
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Jan 30, 2004
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$14.1M$28.3MNov 13, 2013: $28,276,398.00Nov 13, 2013Nov 13, 2013: $11,324,127.00Nov 13, 2014: $25,452,711.00Dec 2, 2014: $25,452,711.00Dec 2, 2015: $25,452,711.00Dec 2, 2016: $25,452,711.00Dec 1, 2017: $25,852,711.00Nov 29, 2018: $25,924,989.00Nov 29, 2018

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$25,852,711 → $25,924,989

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 29, 2018Amendment$25,924,989$72,278vs Dec 1, 201785SEC filing
Dec 1, 2017Amendment$25,852,711$400,000vs Dec 2, 201685SEC filing
Dec 2, 2016Amendment$25,452,711$0vs Dec 2, 201583SEC filing
Dec 2, 2015Amendment$25,452,711$0vs Dec 2, 201483SEC filing
Dec 2, 2014Amendment$25,452,711$0vs Nov 13, 201483SEC filing
Nov 13, 2014Amendment$25,452,711$14,128,584vs Nov 13, 201383SEC filing
Nov 13, 2013Amendment$11,324,127-$16,952,271vs Nov 13, 201360SEC filing
Nov 13, 2013Amendment$28,276,398No comparison60SEC 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
021-62033

Source: Form D, filed Nov 29, 2018. 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

LOWER WACKER SMALL CAP INVESTMENT FUND LLC

Investment adviser: SEGALL BRYANT & HAMILL, LLC

Gross asset value
$37.9M
Beneficial owners
63
ADV minimum commitment
$100K

Reported in Form ADV on Jun 26, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator O'MALLEY & KWIT, LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PLANTE & MORAN, PLLC CHICAGO, Illinois, United States
Custodian BANK OF AMERICA TRUST DEPT 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
No

PLANTE & MORAN, PLLC
PCAOB 166

Filing source

Form ADV 1438129 · Jun 26, 2020 · Schedule D 7.B.(1), fund 805-1331322430

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
C. Alfred Bryant Director, Executive
Jeff Hank Executive
Paul A. Lythberg Director, Executive
Alan Polansky Executive
Ralph Segall Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
540 West Madison Street Suite 1900
Chicago, IL, 60661