Form D · Hedge Fund

RESEARCH AFFILIATES CAPITAL LP

Newport Beach, CA · CIK 0001259191

Offering snapshot reported Apr 13, 2016 · SEC filing

Reported sold
$34.2M
Indefinite offering
Investors reported
25
Form D · investor count
Minimum accepted
$5M
Reported outside-investor minimum
First sale
Jan 1, 2003
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$17.1M$34.2MNov 20, 2012: $16,650,012.00Nov 20, 2012Apr 15, 2014: $34,161,632.00Apr 15, 2014Apr 15, 2015: $34,161,632.00Apr 15, 2015Apr 13, 2016: $34,161,632.00Apr 13, 2016

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.

No comparable changes in the displayed metrics.

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 13, 2016Amendment$34,161,632$0vs Apr 15, 201525SEC filing
Apr 15, 2015Amendment$34,161,632$0vs Apr 15, 201425SEC filing
Apr 15, 2014Amendment$34,161,632$17,511,620vs Nov 20, 201225SEC filing
Nov 20, 2012Amendment$16,650,012No comparison4SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-57648

Source: Form D, filed Apr 13, 2016. 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

RESEARCH AFFILIATES CAPITAL, L.P.

Investment adviser: RESEARCH AFFILIATES, LLC

Gross asset value
$84.4M
Beneficial owners
2
ADV minimum commitment
$5M

Reported in Form ADV on Jul 17, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator HC GLOBAL FUND SERVICES SAN FRANCISCO, California, United States Investor statements: No (provided to no investors) Related to adviser: No
Auditor ERNST & YOUNG SAN FRANCISCO, California, United States
Custodian PACIFIC INVESTMENT MANAGEMENT COMPANY LLC NEWPORT BEACH, California, United States Related to adviser: No
Custodian VANGUARD MARKETING CORPORATION MALVERN, Pennsylvania, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

ERNST & YOUNG
PCAOB 42

VANGUARD MARKETING CORPORATION
SEC 8-21570

Filing source

Form ADV 1216230 · Jul 17, 2018 · Schedule D 7.B.(1), fund 805-4166723900

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
Robert D. Arnott Executive
N/A Arnott Family Trust Promoter
Daniel M. Harkins Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
620 Newport Center Drive Suite 900
Newport Beach, CA, 92660