Form D · Hedge Fund

Research Affiliates Fundamental Active, LP

Newport Beach, CA · CIK 0001540402

Offering snapshot reported Jan 26, 2012 · SEC filing

Reported sold: $2.01M
Investors reported: 7
Minimum accepted: $5M
First sale: Dec 27, 2011

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
Jan 26, 2012	Initial	$2,010,000	No comparison	7	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-172495

Source: Form D, filed Jan 26, 2012. 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 FUNDAMENTAL ACTIVE LP

Investment adviser: RESEARCH AFFILIATES, LLC

Gross asset value: $2.03M
Beneficial owners: 8
ADV minimum commitment: $5M

Reported in Form ADV on Jun 1, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator HEDGECOUNT, LLC 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 650576 · Jun 1, 2012 · Schedule D 7.B.(1), fund 805-9328752678

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