Form D · Other Investment Fund
THB SMALLCAP FUND, LLC
Norwalk, CT · CIK 0001500700
Offering snapshot reported Oct 2, 2024 · SEC filing
- Reported sold
- $72.6M Indefinite offering
- Investors reported
- 3 Form D · investor count
- Minimum accepted
- $2.5K Reported outside-investor minimum
- First sale
- Aug 26, 2010 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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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Oct 2, 2024 | Initial | $72,562,075 | No comparison | 3 | SEC filing |
| Oct 11, 2023 | Amendment | $57,984,765 | $8,985,283vs Oct 11, 2022 | 3 | SEC filing |
| Oct 11, 2022 | Amendment | $48,999,482 | -$13,290,392vs Oct 12, 2021 | 3 | SEC filing |
| Oct 12, 2021 | Amendment | $62,289,874 | -$100,653,353vs Apr 22, 2020 | 19 | SEC filing |
| Apr 22, 2020 | Amendment | $162,943,227 | $0vs Apr 23, 2019 | 19 | SEC filing |
| Apr 23, 2019 | Amendment | $162,943,227 | $0vs Apr 23, 2018 | 19 | SEC filing |
| Apr 23, 2018 | Amendment | $162,943,227 | -$236,968,795vs May 9, 2017 | 19 | SEC filing |
| May 9, 2017 | Amendment | $399,912,022 | $42,289,578vs May 9, 2016 | 19 | SEC filing |
| May 9, 2016 | Amendment | $357,622,444 | $276,441,580vs Mar 11, 2015 | 19 | SEC filing |
| Mar 11, 2015 | Amendment | $81,180,864 | $0vs Dec 18, 2013 | 15 | SEC filing |
| Dec 18, 2013 | Amendment | $81,180,864 | $100,600vs Dec 18, 2012 | 15 | SEC filing |
| Dec 18, 2012 | Amendment | $81,080,264 | $2,695,750vs Oct 27, 2011 | 14 | SEC filing |
| Oct 27, 2011 | Amendment | $78,384,514 | $18,646,620vs Oct 26, 2010 | 14 | SEC filing |
| Oct 26, 2010 | Amendment | $59,737,894 | $0vs Sep 10, 2010 | 11 | SEC filing |
| Sep 10, 2010 | Initial | $59,737,894 | No comparison | 11 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-525612
Total Amount Sold represents approximate AUM as of 9/30/2024.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Victory Capital Services, Inc. | 37059 |
Source: Form D, filed Oct 2, 2024. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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 |
|---|---|
| John Gordon Bennett | Executive |
| David Brown | Executive |
| William Bryant | Executive |
| Kelly Cliff | Executive |
| Christopher Nicholas Cuesta | Executive |
| Keith Edward Dickinson | Executive |
| Nina Gupta | Executive |
| James Michael Kennedy | Executive |
| Chad Michael Nelson | Executive |
| Michael Policarpo | Executive |
| N/A Victory Capital Management Inc. | Promoter |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:
C/O Thomson Horstmann & Bryant, Inc. 501 Merritt 7
Norwalk, CT, 06851
Norwalk, CT, 06851