Form D · Hedge Fund

PFM Thematic Growth Principals Fund, L.P.

San Francisco, CA · CIK 0001303371

Offering snapshot reported May 2, 2019 · SEC filing

Reported sold
$258M
Indefinite offering
Investors reported
60
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Oct 1, 2004
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$129M$258MMar 17, 2009: $174,313,604.00Mar 17, 2009Jun 11, 2009: $174,566,991.00Feb 12, 2010: $186,424,996.00Jan 24, 2011: $187,165,474.00Apr 26, 2011: $187,166,874.00Apr 30, 2012: $187,194,412.00Apr 22, 2013: $210,924,240.00May 7, 2014: $243,680,820.00May 6, 2015: $249,191,173.00May 4, 2016: $253,247,251.00May 5, 2017: $254,811,323.00May 4, 2018: $254,911,323.00May 2, 2019: $257,622,676.00May 2, 2019

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$254,911,323 → $257,622,676
  • Reported investors57 → 60

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 2, 2019Amendment$257,622,676$2,711,353vs May 4, 201860SEC filing
May 4, 2018Amendment$254,911,323$100,000vs May 5, 201757SEC filing
May 5, 2017Amendment$254,811,323$1,564,072vs May 4, 201657SEC filing
May 4, 2016Amendment$253,247,251$9,566,431vs May 7, 201455SEC filing
May 6, 2015Amendment$249,191,173$5,510,353vs May 7, 201450SEC filing
May 7, 2014Amendment$243,680,820$32,756,580vs Apr 22, 201349SEC filing
Apr 22, 2013Amendment$210,924,240$23,729,828vs Apr 30, 201239SEC filing
Apr 30, 2012Amendment$187,194,412$27,538vs Apr 26, 201131SEC filing
Apr 26, 2011Amendment$187,166,874$1,400vs Jan 24, 201130SEC filing
Jan 24, 2011Amendment$187,165,474$740,478vs Feb 12, 201030SEC filing
Feb 12, 2010Amendment$186,424,996$11,858,005vs Jun 11, 200929SEC filing
Jun 11, 2009Amendment$174,566,991$253,387vs Mar 17, 200927SEC filing
Mar 17, 2009Amendment$174,313,604No comparisonNot reportedSEC 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
021-69428

Source: Form D, filed May 2, 2019. 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

PFM THEMATIC GROWTH PRINCIPALS FUND, L.P.

Investment adviser: PFM HEALTH SCIENCES, LP

Gross asset value
$67.5M
Beneficial owners
39
ADV minimum commitment
$100K

Reported in Form ADV on Sep 30, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator HEDGESERV (CAYMAN) LTD. GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LLP SAN FRANCISCO, California, United States
Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Custodian THE NORTHERN TRUST INTL BANKING CORP JERSEY CITY, New Jersey, United States Related to adviser: No
Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States
Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States
Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States
Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

ERNST & YOUNG LLP
PCAOB 42

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

GOLDMAN SACHS & CO. LLC
SEC 8-129

J.P. MORGAN SECURITIES LLC
SEC 8-35008

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

MORGAN STANLEY & CO. LLC
SEC 8-15869

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Filing source

Form ADV 1347785 · Sep 30, 2019 · Schedule D 7.B.(1), fund 805-8341230477

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
Yuan Dubord Executive
Yuan Du Bord Executive
Linda E. Fitzgerald Executive, Promoter
William Goodell Executive
Brian Grossman Executive
Christopher James Executive
Eric T. Moore Executive
N/A Partner Asset Management, Llc Promoter
N/A Partner Investment Management, L.P. Promoter
Darin Sadow Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Four Embarcadero Center, Suite 3500
San Francisco, CA, 94111