Form D · Hedge Fund
NORTHERN TRUST MULTI-ADVISOR FUNDS- SERIES: SMALL GROWTH FUND- DRIEHAUS CAPITAL MANAGEMENT, INC.
Stamford, CT · CIK 0001423237
Offering snapshot reported Mar 12, 2012 · SEC filing
- Reported sold
- $74.6M Indefinite offering
- Investors reported
- 457 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.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 12, 2012 | Amendment | $74,600,689 | $0vs Mar 11, 2011 | 457 | SEC filing |
| Mar 11, 2011 | Amendment | $74,600,689 | $292,496vs Mar 15, 2010 | 457 | SEC filing |
| Mar 15, 2010 | Amendment | $74,308,193 | $0vs Mar 16, 2009 | 450 | SEC filing |
| Mar 16, 2009 | Amendment | $74,308,193 | No comparison | Not reported | SEC filing |
| Dec 31, 2007 | Paper | Not reported | No comparison | Not reported | SEC 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
- 021-112910
Proceeds of the offering have not been used to pay commissions or finders' fees.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Northern Trust Securities, Inc. | 7927 |
Source: Form D, filed Mar 12, 2012. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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 |
| Alan W. Robertson | Executive |
| N/A The Northern Trust Company Of Connecticut | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Stamford, CT, 06901