Form D · Other Investment Fund

MULTI-ADVISOR FUNDS INTERNATIONAL FUND - ROBERT W. BAIRD & CO. INC. (CHAUTAUQUA CAPITAL MANAGEMENT GROUP)

Chicago, IL · CIK 0001577658

Offering snapshot reported Feb 6, 2020 · SEC filing

Reported sold: $27.1M
Investors reported: 30
Minimum accepted: $0
First sale: Oct 1, 2012

Fundraising history

Reported sold

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$25,758,805 → $27,058,805
Reported investors27 → 30

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Feb 6, 2020	Amendment	$27,058,805	$1,300,000vs Feb 6, 2019	30	SEC filing
Feb 6, 2019	Amendment	$25,758,805	$1,100,000vs Feb 6, 2018	27	SEC filing
Feb 6, 2018	Amendment	$24,658,805	$0vs Feb 6, 2017	24	SEC filing
Feb 6, 2017	Amendment	$24,658,805	$0vs Feb 4, 2016	24	SEC filing
Feb 4, 2016	Amendment	$24,658,805	$0vs Feb 10, 2015	24	SEC filing
Feb 10, 2015	Amendment	$24,658,805	$0vs Mar 17, 2014	24	SEC filing
Mar 17, 2014	Amendment	$24,658,805	$0vs Jun 27, 2013	24	SEC filing
Jun 27, 2013	Initial	$24,658,805	No comparison	24	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-198751

No proceeds of the offering have been used to pay commissions or finders' fees.

Source: Form D, filed Feb 6, 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

MULTI-ADVISOR FUNDS INTERNATIONAL FUND - ROBERT W. BAIRD & CO. INCORPORATED (CHAUTAUQUA CAPITAL MANAGEMENT GROUP)

Investment adviser: NORTHERN TRUST INVESTMENTS, INCORPORATED

Gross asset value: $30.6M
Beneficial owners: 16
ADV minimum commitment: $100K

Reported in Form ADV on Sep 27, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes

Auditor KPMG, LLP CHICAGO, Illinois, United States

Custodian THE BANK OF NEW YORK MELLON EAST SYRACUSE, New York, United States Related to adviser: No

Marketer NORTHERN TRUST SECURITIES, INC CHICAGO, Illinois, 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

KPMG, LLP
PCAOB 185

THE BANK OF NEW YORK MELLON
LEI HPFHU0OQ28E4N0NFVK49

NORTHERN TRUST SECURITIES, INC
CRD 7927 · SEC 801-80781

Filing source

Form ADV 1568042 · Sep 27, 2021 · Schedule D 7.B.(1), fund 805-6460467794

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
Joseph W. Mcinerney	Executive
N/A Northern Trust Investments, Inc.	Executive, Promoter
Nina B. Staley	Executive
Melissa A. Standring	Executive
N/A The Northern Trust Company Of Connecticut	Executive, Promoter
Christopher E. Vella	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

C/O Northern Trust Investments, Inc. 50 South Lasalle Street
Chicago, IL, 60603