Form D · Hedge Fund
MULTI-ADVISOR FUNDS SMALL VALUE FUND- VAUGHAN NELSON INVESTMENT MANAGEMENT, LP
Chicago, IL · CIK 0001458298
Offering snapshot reported Feb 6, 2018 · SEC filing
- Reported sold
- $80.2M Indefinite offering
- Investors reported
- 528 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jan 1, 1998 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$69,858,476 → $80,207,451
- Reported investors516 → 528
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Feb 6, 2018 | Amendment | $80,207,451 | $10,348,975vs Feb 6, 2017 | 528 | SEC filing |
| Feb 6, 2017 | Amendment | $69,858,476 | $10,239,846vs Feb 4, 2016 | 516 | SEC filing |
| Feb 4, 2016 | Amendment | $59,618,630 | $5,992,185vs Feb 10, 2015 | 496 | SEC filing |
| Feb 10, 2015 | Amendment | $53,626,445 | $7,990,000vs Mar 17, 2014 | 480 | SEC filing |
| Mar 17, 2014 | Amendment | $45,636,445 | $0vs Aug 8, 2013 | 476 | SEC filing |
| Aug 8, 2013 | Amendment | $45,636,445 | $0vs Mar 15, 2013 | 476 | SEC filing |
| Mar 15, 2013 | Amendment | $45,636,445 | $1,500,000vs Mar 12, 2012 | 476 | SEC filing |
| Mar 12, 2012 | Amendment | $44,136,445 | $565,000vs Mar 11, 2011 | 474 | SEC filing |
| Mar 11, 2011 | Amendment | $43,571,445 | $1,447,034vs Mar 15, 2010 | 472 | SEC filing |
| Mar 15, 2010 | Amendment | $42,124,411 | $1,520,000vs Mar 16, 2009 | 463 | SEC filing |
| Mar 16, 2009 | Amendment | $40,604,411 | No comparison | Not reported | SEC filing |
| Dec 31, 2007 | Paper | Not reported | No comparison | Not reported |
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
- 021-127653
No proceeds of the offering have been used to pay commissions or finders' fees.
Source: Form D, filed Feb 6, 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
MULTI-ADVISOR FUNDS SMALL VALUE FUND-VAUGHAN NELSON INVESTMENT MANAGEMENT, LP
Investment adviser: NORTHERN TRUST INVESTMENTS, INCORPORATED
- Gross asset value
- $50.5M
- Beneficial owners
- 91
- ADV minimum commitment
- $100K
Reported in Form ADV on Oct 14, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
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 1349743 · Oct 14, 2019 · Schedule D 7.B.(1), fund 805-1269393952
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 |
|---|---|
| Rossana Colangelo | Executive |
| Joseph W. Mc Inerney | Executive |
| N/A Northern Trust Investments, Inc. | Executive, Promoter |
| Alan W. Robertson | Executive |
| 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:Chicago, IL, 60603