Form D · Other Investment Fund

ROTHSCHILD & CO SMALL-CAP TRUST

Stamford, CT · CIK 0001542686

Offering snapshot reported Dec 5, 2022 · SEC filing

Reported sold
$99.3M
Indefinite offering
Investors reported
43
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Jun 1, 1997
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$101M$203MFeb 21, 2012: $202,927,555.00Feb 21, 2012Dec 1, 2017: $73,231,065.00Dec 3, 2018: $76,231,065.00Dec 3, 2019: $86,281,065.00Dec 3, 2020: $99,181,065.00Dec 3, 2021: $99,331,065.00Dec 5, 2022: $99,331,065.00Dec 5, 2022

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
Dec 5, 2022Amendment$99,331,065$0vs Dec 3, 202143SEC filing
Dec 3, 2021Amendment$99,331,065$150,000vs Dec 3, 202043SEC filing
Dec 3, 2020Amendment$99,181,065$12,900,000vs Dec 3, 201943SEC filing
Dec 3, 2019Amendment$86,281,065$10,050,000vs Dec 3, 201843SEC filing
Dec 3, 2018Amendment$76,231,065$3,000,000vs Dec 1, 201742SEC filing
Dec 1, 2017Amendment$73,231,065-$129,696,490vs Feb 21, 201242SEC filing
Feb 21, 2012Initial$202,927,555No comparison30SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-173682

Source: Form D, filed Dec 5, 2022. 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

GREAT LAKES SMALL CAP CORE TRUST

Investment adviser: GREAT LAKES ADVISORS, LLC

Gross asset value
$37.6M
Beneficial owners
3
ADV minimum commitment
$1M

Reported in Form ADV on Sep 8, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG LLP CHICAGO, Illinois, United States
Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, 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 LLP
PCAOB 42

Filing source

Form ADV 2125794 · Sep 8, 2026 · Schedule D 7.B.(1), fund 805-6707562464

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
T. Radey Johnson Executive
Daniel Oshinskie Executive
N/A Rothschild Asset Management Inc. Executive
N/A Rothschild & Co Asset Management Us Inc. Executive
Michael Tamasco Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
1 Station Place Suite 470
Stamford, CT, 06902