Form D · Hedge Fund

Research Affiliates Equity Emerging Markets, L.P.

Newport Beach, CA · CIK 0001365061

Offering snapshot reported Jul 3, 2014 · SEC filing

Reported sold: $204M
Investors reported: 21
Minimum accepted: $10M
First sale: Jun 1, 2006

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$194,578,734 → $203,578,734

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jul 3, 2014	Amendment	$203,578,734	$9,000,000vs Oct 25, 2013	21	SEC filing
Oct 25, 2013	Amendment	$194,578,734	$192,964vs Oct 22, 2012	21	SEC filing
Oct 22, 2012	Amendment	$194,385,770	No comparison	19	SEC filing
Sep 22, 2011	Amendment	$104,887,288	$44,528,752vs Aug 24, 2010	13	SEC filing
Aug 24, 2010	Amendment	$60,358,536	No comparison	7	SEC filing
May 23, 2006	Paper	Not reported	No comparison	Not reported

Offering details

Securities: 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: 021-90538

Source: Form D, filed Jul 3, 2014. 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 EQUITY EMERGING MARKETS, L.P.

Investment adviser: RESEARCH AFFILIATES, LLC

Gross asset value: $429M
Beneficial owners: 19
ADV minimum commitment: $10M

Reported in Form ADV on Jul 9, 2015. 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 BNY MELLON CAPITAL MARKETS, LLC NEW YORK, New York, 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

BNY MELLON CAPITAL MARKETS, LLC
SEC 8-35255

Filing source

Form ADV 934201 · Jul 9, 2015 · Schedule D 7.B.(1), fund 805-4896312309

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
Robert D. Arnott	Executive
Daniel M. Harkins	Executive
N/A Research Affiliates Management, Llc	Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

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