Form D · Other Investment Fund

RJO GLOBAL TRUST

Chicago, IL · CIK 0001027099

Offering snapshot reported Aug 7, 2017 · SEC filing

Reported sold
$635K
Indefinite offering
Investors reported
2
Form D · investor count
Minimum accepted
$5K
Reported outside-investor minimum
First sale
Mar 1, 2012
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$318K$635KMar 30, 2012: $135,000.00Mar 30, 2012May 11, 2015: $635,000.00May 11, 2015Aug 4, 2016: $635,000.00Aug 4, 2016Aug 7, 2017: $635,000.00Aug 7, 2017

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
Aug 7, 2017Amendment$635,000$0vs Aug 4, 20162SEC filing
Aug 4, 2016Amendment$635,000$0vs May 11, 20152SEC filing
May 11, 2015Amendment$635,000$500,000vs Mar 30, 20122SEC filing
Mar 30, 2012Initial$135,000No comparison1SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$4.72K (estimated)
Finders' fees
$0
Form D file number
021-175916

Sales compensation recipients

Scroll to see all columns →

RecipientCRDAssociated broker-dealer
Stifel, Nicolaus & Company, Incorporated793

Source: Form D, filed Aug 7, 2017. 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

RJO GLOBAL TRUST

Investment adviser: OASIS INVESTMENT STRATEGIES LLC

Gross asset value
$4.14M
Beneficial owners
718
ADV minimum commitment
$10K

Reported in Form ADV on Mar 31, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator NAV CONSULTING, INC. OAKBROOK, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor MOSS ADAMS LLP DALLAS, Texas, United States
Custodian WELLS FARGO BANK CHICAGO, Illinois, United States Related to adviser: No
Marketer R.J. O'BRIEN SECURITIES, LLC CHICAGO, Illinois, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

R.J. O'BRIEN SECURITIES, LLC
CRD 143624 · SEC 8-67587

Filing source

Form ADV 1101898 · Mar 31, 2017 · Schedule D 7.B.(1), fund 805-1450663402

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
Annette A. Cazenave Executive
Gerald Corcoran Executive
Julie M. De Matteo Director, Executive
James A. Gabriele Director, Executive
Jason T. Manumaleuna Executive
Augustine Perrotta Executive
Nancy Westwick Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
C/O R J O'brien Fund Management 222 South Riverside Plaza Ste 1200
Chicago, IL, 60606