Form D · Other Investment Fund

HarborWalk Risk Parity Fund V15, L.P.

Boston, MA · CIK 0001544372

Offering snapshot reported Aug 12, 2019 · SEC filing

Reported sold
$732M
Indefinite offering
Investors reported
268
Form D · investor count
Minimum accepted
$500K
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$366M$732MMar 15, 2012: $16,785,000.00Mar 15, 2012Apr 16, 2012: $32,505,000.00May 15, 2012: $63,497,000.00Jun 14, 2012: $87,624,778.00Jul 13, 2012: $95,857,792.00Aug 14, 2012: $99,067,792.00Sep 13, 2012: $114,486,593.00Oct 15, 2012: $130,152,952.00Nov 15, 2012: $190,967,134.00Dec 13, 2012: $244,964,455.00Jan 15, 2013: $244,964,455.00Feb 15, 2013: $259,736,159.00Mar 14, 2013: $344,247,281.00Apr 15, 2013: $357,299,596.00Jun 17, 2013: $392,034,450.00Aug 16, 2013: $426,147,491.00Jan 16, 2014: $427,128,091.00Jan 14, 2015: $488,169,631.00Jan 14, 2016: $525,116,681.00May 19, 2017: $557,303,869.00May 18, 2018: $560,658,868.00Aug 12, 2019: $732,210,133.00Aug 12, 2019

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$560,658,868 → $732,210,133
  • Reported investors269 → 268

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Aug 12, 2019Amendment$732,210,133$171,551,265vs May 18, 2018268SEC filing
May 18, 2018Amendment$560,658,868$3,354,999vs May 19, 2017269SEC filing
May 19, 2017Amendment$557,303,869$32,187,188vs Jan 14, 2016269SEC filing
Jan 14, 2016Amendment$525,116,681$36,947,050vs Jan 14, 2015253SEC filing
Jan 14, 2015Amendment$488,169,631$61,041,540vs Jan 16, 2014229SEC filing
Jan 16, 2014Amendment$427,128,091$980,600vs Aug 16, 2013205SEC filing
Aug 16, 2013Amendment$426,147,491$34,113,041vs Jun 17, 2013202SEC filing
Jun 17, 2013Amendment$392,034,450$34,734,854vs Apr 15, 2013193SEC filing
Apr 15, 2013Amendment$357,299,596$13,052,315vs Mar 14, 2013180SEC filing
Mar 14, 2013Amendment$344,247,281$84,511,122vs Feb 15, 2013165SEC filing
Feb 15, 2013Amendment$259,736,159$14,771,704vs Jan 15, 2013155SEC filing
Jan 15, 2013Amendment$244,964,455$0vs Dec 13, 2012137SEC filing
Dec 13, 2012Amendment$244,964,455$53,997,321vs Nov 15, 2012118SEC filing
Nov 15, 2012Amendment$190,967,134$60,814,182vs Oct 15, 201297SEC filing
Oct 15, 2012Amendment$130,152,952$15,666,359vs Sep 13, 201283SEC filing
Sep 13, 2012Amendment$114,486,593$18,628,801vs Jul 13, 201279SEC filing
Aug 14, 2012Amendment$99,067,792$3,210,000vs Jul 13, 201268SEC filing
Jul 13, 2012Amendment$95,857,792$8,233,014vs Jun 14, 201266SEC filing
Jun 14, 2012Amendment$87,624,778$24,127,778vs May 15, 201261SEC filing
May 15, 2012Amendment$63,497,000$30,992,000vs Apr 16, 201242SEC filing
Apr 16, 2012Amendment$32,505,000$15,720,000vs Mar 15, 201225SEC filing
Mar 15, 2012Initial$16,785,000No comparison12SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$3.11M (estimated)
Finders' fees
$0
Form D file number
021-174971

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
N/ANoneApplied Capital LLC · CRD 166316

Source: Form D, filed Aug 12, 2019. 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

HARBORWALK RISK PARITY FUND V15, L.P.

Investment adviser: MELLON INVESTMENTS CORPORATION

Gross asset value
$20M
Beneficial owners
26
ADV minimum commitment
$500K

Reported in Form ADV on Oct 16, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator SS&C TECHNOLOGIES, INC. IRVING, Texas, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG COLUMBUS, Ohio, United States
Custodian CITIBANK, N.A. NEW YORK, New York, United States Related to adviser: No
Marketer BNY MELLON SECURITIES CORPORATION NEW YORK CITY, New York, United States Related to adviser: Yes
Marketer HIGHTOWER SECURITIES, LLC 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
Yes

KPMG
PCAOB 185

CITIBANK, N.A.
LEI E570DZWZ7FF32TWEFA76

BNY MELLON SECURITIES CORPORATION
CRD 231 · SEC 801-54739

HIGHTOWER SECURITIES, LLC
CRD 116681 · SEC 8-53560

Filing source

Form ADV 1461662 · Oct 16, 2020 · Schedule D 7.B.(1), fund 805-2104145820

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
Paul A. Bachtold Executive
John A. Blaisdell Executive
Roberto Croce Executive
William R. Guinn Executive
N/A Harborwalk Alternatives I Gp, Llc Executive
William B Hunt Executive
Andrew B. Linbeck Executive
James Desmond Mac Intyre Executive
N/A Mellon Investments Corporation Promoter
Robert S Naka Executive
Alex Over Executive
Lee G. Partridge Executive
John E. Price Executive
Jeremy L. Radcliffe Executive
N/A N/A Salient Capital Management, Llc Executive
N/A Salient Liquid Alts Gp, L.P. Executive
N/A Salient Risk Parity Fund Gp, Llc Executive
Adam Thomas Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
One Boston Place 201 Washington Street
Boston, MA, 02108