Form D · Other Investment Fund
SMALL CAP LONG SHORT FUND LLC
New York, NY · CIK 0001438278
Offering snapshot reported Feb 11, 2014 · SEC filing
- Reported sold
- $18M Indefinite offering
- Investors reported
- 57 Form D · investor count
- Minimum accepted
- $250K Reported outside-investor minimum
- First sale
- Jun 1, 2009 As reported in this filing
Fundraising history
Reported soldDates 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
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Feb 11, 2014 | Amendment | $18,016,750 | $0vs Feb 12, 2013 | 57 | SEC filing |
| Feb 12, 2013 | Amendment | $18,016,750 | $0vs Nov 8, 2012 | 57 | SEC filing |
| Nov 8, 2012 | Amendment | $18,016,750 | $0vs Nov 10, 2011 | 57 | SEC filing |
| Nov 10, 2011 | Amendment | $18,016,750 | $6,135,000vs Nov 12, 2010 | 57 | SEC filing |
| Nov 12, 2010 | Amendment | $11,881,750 | $7,936,750vs Nov 12, 2009 | 50 | SEC filing |
| Nov 12, 2009 | Amendment | $3,945,000 | No comparison | 17 | SEC filing |
| Jun 19, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-119608
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Foreside Fund Services, LLC | 46106 |
Source: Form D, filed Feb 11, 2014. 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
SMALL CAP LONG SHORT FUND LLC
Investment adviser: MACQUARIE WEALTH ADVISERS, LLC
- Gross asset value
- $3.8M
- Beneficial owners
- 12
- ADV minimum commitment
- $250K
Reported in Form ADV on Nov 4, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- No
- Administrator other than the adviser
- Yes
- External marketing
- Yes
FORESIDE FUND SERVICES, LLC
CRD 46106 · SEC 8-51293
FSC SECURITIES CORPORATION
CRD 7461 · SEC 801-42017
LPL FINANCIAL LLC
CRD 6413 · SEC 8-17668
ROYAL ALLIANCE ASSOCIATES, INC.
CRD 23131 · SEC 801-54859
SAGEPOINT FINANCIAL, INC.
CRD 133763 · SEC 801-64721
WOODBURY FINANCIAL SERVICES, INC.
CRD 421 · SEC 801-54905
Filing source
Form ADV 954900 · Nov 4, 2015 · Schedule D 7.B.(1), fund 805-1667094841
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.
| Name | Reported role |
|---|---|
| Gregory Brousseau | Executive |
| David Littleton | Executive |
| Michael Mascis | Executive |
| Central Park Fund Administration, Llc N/A | Executive |
| Fortigent Strategies Company, Llc N/A | Promoter |
| Fortigent, Llc N/A | Promoter |
| Central Park Group, Llc N/A | Promoter |
| Central Park Advisers, Llc N/A | Promoter |
| Andrew Putterman | Executive |
| Mitchell Tanzman | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:New York, NY, 10022