Form D · Hedge Fund
Managed Fund/Marshall Wace TOPS European Fund Ltd.
St. Helier, Y9 · CIK 0001598202
Offering snapshot reported May 28, 2020 · SEC filing
- Reported sold
- $4.62M Indefinite offering
- Investors reported
- 3 Form D · investor count
- Minimum accepted
- $100K Reported outside-investor minimum
- First sale
- Jan 22, 2014 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$4,320,000 → $4,620,000
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| May 28, 2020 | Amendment | $4,620,000 | $300,000vs May 31, 2019 | 3 | SEC filing |
| May 31, 2019 | Amendment | $4,320,000 | $3,135,000vs Jun 1, 2018 | 3 | SEC filing |
| Jun 1, 2018 | Amendment | $1,185,000 | $0vs Jun 1, 2017 | 1 | SEC filing |
| Jun 1, 2017 | Amendment | $1,185,000 | $0vs Jun 1, 2016 | 1 | SEC filing |
| Jun 1, 2016 | Amendment | $1,185,000 | $0vs Jun 1, 2015 | 1 | SEC filing |
| Jun 1, 2015 | Amendment | $1,185,000 | $470,000vs Feb 6, 2014 | 1 | SEC filing |
| Feb 6, 2014 | Initial | $715,000 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0 (estimated)
- Finders' fees
- $0 (estimated)
- Form D file number
- 021-211447
Includes only securities sold to US investors by the issuer in reliance on Regulation D (e.g. excludes securities sold to non-US investors in reliance on Regulation S)
Pursuant to contractual agreements between Lyxor & SGAS, SGAS may receive payments from Lyxor out of the fees paid to Lyxor by the Issuer. Payment amounts will be fixed between Lyxor & SGAS & will not be a charge to the Issuer or investors in the Issuer.
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| SG Americas Securities, LLC | 128351 | SG Americas Securities, LLC · CRD 128351 |
Source: Form D, filed May 28, 2020. 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
MANAGED FUND / MARSHALL WACE TOPS FUND LIMITED
Investment adviser: LYXOR ASSET MANAGEMENT S.A.S.
- Gross asset value
- $81.7M
- Beneficial owners
- 6
- ADV minimum commitment
- $100K
Reported in Form ADV on Apr 15, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Auditor
PRICEWATERHOUSECOOPERS CI LLP
ST HELIER, Jersey
Custodian
CRÉDIT SUISSE AG DUBLIN BRANCH
LONDON, United Kingdom
Related to adviser: No
Custodian
DEUTSCHE BANK SECURITIES INC.
NEW YORK, New York, United States
Related to adviser: No
Custodian
GOLDMAN SACHS INTERNATIONAL
LONDON, United Kingdom
Related to adviser: No
Custodian
MORGAN STANLEY & CO. INTERNATIONAL PLC.
LONDON, United Kingdom
Related to adviser: No
Custodian
MORGAN STANLEY & CO. LLC
NEW YORK, New York, United States
Related to adviser: No
Custodian
SG KLEINWORT HAMBROS TRUST COMPANY (CI) LIMITED
ST HELIER, Jersey
Related to adviser: Yes
Custodian
SOCIETE GENERALE
PARIS, France
Related to adviser: Yes
Marketer
ABN AMRO BANK N.V. - AMSTERDAM
AMSTERDAM, Netherlands
Related to adviser: No
Marketer
ALPHA PATRIMOINE SA
LUXEMBOURG, Luxembourg
Related to adviser: No
Marketer
ARISTA FINANZ AG
ZURICH, Switzerland
Related to adviser: No
Marketer
ASPEN HILL PARTNERS (HONG KONG) LIMITED
HONG KONG, Hong Kong
Related to adviser: No
Marketer
AXELTIS
PARIS, France
Related to adviser: No
Marketer
BANK OF SINGAPORE LIMITED
SINGAPORE, Singapore
Related to adviser: No
Marketer
BANQUE FEDERATIVE DU CREDIT MUTUEL
PARIS, France
Related to adviser: No
Marketer
BANQUE LEONARDO
PARIS, France
Related to adviser: No
Marketer
BOCI SECURITIES LIMITED
HONG KONG, Hong Kong
Related to adviser: No
Marketer
CHINA INTERNATIONAL CAPITAL CORPORATION HK SECURITIES LIMITED
HONG KONG, Hong Kong
Related to adviser: No
Marketer
CHINA MERCHANTS BANK CO LTD
HONG KONG, Hong Kong
Related to adviser: No
Marketer
CMB INTERNATIONAL SECURITIES LIMITED
HONG KONG, Hong Kong
Related to adviser: No
Marketer
CTBC CO. LTD, SINGAPORE
SINGAPORE, Singapore
Related to adviser: No
Marketer
DBS BANK LTD, SINGAPORE
SINGAPORE, Singapore
Related to adviser: No
Marketer
FIRSTRAND PRIVATE WEALTH MANAGEMENT LIMITED
JERSEY, Jersey
Related to adviser: No
Marketer
FUCHS '&' ASSOCIES FINANCE SA
LUXEMBOURG, Luxembourg
Related to adviser: No
Marketer
FUND CHANNEL
LUXEMBOURG, Luxembourg
Related to adviser: No
Marketer
INDUSTRIAL AND COMMERCIAL BANK OF CHINA - FUND CUSTODY DEPARTMENT
HONG KONG, Hong Kong
Related to adviser: No
Marketer
INTUTAE COURTAGE
PARIS, France
Related to adviser: No
Marketer
KGI WEALTH MANAGEMENT LIMITED
HONG KONG, Hong Kong
Related to adviser: No
Marketer
MFEX MUTUAL FUNDS EXCHANGE AB
STOCKHOLM, Sweden
Related to adviser: No
Marketer
MORA WEALTH MANAGEMENT AG
ZURICH, Switzerland
Related to adviser: No
Marketer
SG HAMBROS BANK (CHANNEL ISLANDS) LIMITED
GUERNSEY, Guernsey
Related to adviser: Yes
Marketer
SG PRIVATE BANKING BELGIQUE
BRUSSELS, Belgium
Related to adviser: Yes
Marketer
SG PRIVATE BANKING FRANCE
PARIS, France
Related to adviser: Yes
Marketer
SG PRIVATE BANKING (MONACO)
MONACO, Monaco
Related to adviser: Yes
Marketer
SMC ASSET MANAGEMENT LIMITED
GIBRALTAR, Gibraltar
Related to adviser: No
Marketer
SOCIETE GENERALE BANK & TRUST
LUXEMBOURG, Luxembourg
Related to adviser: Yes
Marketer
SOGECAP FONDS PROPRE
PARIS, France
Related to adviser: Yes
Marketer
UNITED OVERSEAS BANK LIMITED
SINGAPORE, Singapore
Related to adviser: No
Marketer
WING LUNG BANK LTD
HONG KONG, Hong Kong
Related to adviser: No
Prime broker
CREDIT SUISSE SECURITIES (EUROPE) LIMITED
ZURICH, Switzerland
Prime broker
DEUTSCHE BANK SECURITIES INC.
NEW YORK, New York, United States
Prime broker
MORGAN STANLEY & CO. INTERNATIONAL PLC.
LONDON, United Kingdom
Prime broker
MORGAN STANLEY & CO. LLC
NEW YORK, New York, United States
Prime broker
UBS AG
ZURICH, Switzerland
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- Yes
PRICEWATERHOUSECOOPERS CI LLP
PCAOB 1412
DEUTSCHE BANK SECURITIES INC.
SEC 8-17822
MORGAN STANLEY & CO. LLC
SEC 8-15869
DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822
MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869
Filing source
Form ADV 1392800 · Apr 15, 2020 · Schedule D 7.B.(1), fund 805-3712380554
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 |
|---|---|
| Tarlochan Singh Bolla | Director |
| John Boothman | Director |
| Gwenith (Jersey) Chimwaza | Director |
| Patrick Da | Director |
| Stephen Folland | Director |
| . Lyxor Asset Management S.A.S. | Promoter |
| Ingrid Martin | Director |
| Nicolas Moussavi | Director |
| Lionel Paquin | Director |
| Anita Philippe | Director |
| . Sg Hambros Fund Managers (Jersey) Limited | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:
18 Esplanade
St. Helier, Y9, JE4 8RT
St. Helier, Y9, JE4 8RT