Form D · Other Investment Fund

Tradewinds Global All-Cap Portfolio of the Tradewinds Institutional Investment Trust

Los Angeles, CA · CIK 0001400497

Offering snapshot reported Jul 17, 2013 · SEC filing

Reported sold
$2.51B
Indefinite offering
Investors reported
5
Form D · investor count
Minimum accepted
$2M
Reported outside-investor minimum
First sale
Apr 3, 2007
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$1.26B$2.51BMay 3, 2007Jun 18, 2009: $250,780,150.00Jun 18, 2009Jun 8, 2010: $427,036,354.00Jun 14, 2011: $1,285,006,808.00Jun 14, 2011Jun 22, 2012: $2,511,159,781.00Jul 17, 2013: $2,511,159,781.00Jul 17, 2013

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 investors16 → 5

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jul 17, 2013Amendment$2,511,159,781$0vs Jun 22, 20125SEC filing
Jun 22, 2012Amendment$2,511,159,781$1,226,152,973vs Jun 14, 201116SEC filing
Jun 14, 2011Amendment$1,285,006,808No comparison42SEC filing
Jun 8, 2010Amendment$427,036,354No comparison27SEC filing
Jun 18, 2009Amendment$250,780,150No comparison11SEC filing
Dec 3, 2008PaperNot reportedNo comparisonNot reportedSEC filing
Dec 3, 2008PaperNot reportedNo comparisonNot reportedSEC filing
May 21, 2007PaperNot reportedNo comparisonNot reportedSEC filing
May 3, 2007PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-103286

Source: Form D, filed Jul 17, 2013. 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

TRADEWINDS INSTITUTIONAL INVESTMENT TRUST - TRADEWINDS GLOBAL ALL-CAP PORTFOLIO

Investment adviser: TRADEWINDS GLOBAL INVESTORS, LLC

Gross asset value
$18.8M
Beneficial owners
3
ADV minimum commitment
$2M

Reported in Form ADV on Dec 7, 2015. 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 KPMG, LLP LOS ANGELES, California, United States
Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No
Marketer NUVEEN 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

NUVEEN SECURITIES, LLC
CRD 469 · SEC 8-13464

Filing source

Form ADV 961196 · Dec 7, 2015 · Schedule D 7.B.(1), fund 805-9091911541

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
Jane K. Crist Executive
Robert De Leon Executive
David B. Iben Executive
Constance G. Lawton Executive
N/A Tradewinds Global Investors, Llc Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
2049 Century Park East 20th Floor
Los Angeles, CA, 90067