Form D · Hedge Fund

RESEARCH AFFILIATES LDI 2040 L.P.

Newport Beach, CA · CIK 0001371838

Offering snapshot reported Sep 21, 2011 · SEC filing

Reported sold
$54.7M
Indefinite offering
Investors reported
3
Form D · investor count
Minimum accepted
$5M
Reported outside-investor minimum
First sale
Aug 1, 2004
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Sep 21, 2011Amendment$54,712,767No comparison3SEC 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
021-93312

Source: Form D, filed Sep 21, 2011. 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 LDI 2040, LP

Investment adviser: RESEARCH AFFILIATES, LLC

Gross asset value
$72.7M
Beneficial owners
3
ADV minimum commitment
$10M

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 805-3745684617

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
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