Form D · Other Banking and Financial Services

Tradewinds Global Investors, LLC

Los Angeles, CA · CIK 0001383221

Offering snapshot reported Mar 11, 2015 · SEC filing

Reported sold
$0
Indefinite offering
Investors reported
34
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Mar 23, 2012
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$0.5$1Apr 9, 2012: $0.00Apr 9, 2012Apr 9, 2013: $0.00Apr 9, 2013Mar 11, 2015: $0.00Mar 11, 2015

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
Mar 11, 2015Amendment$0$0vs Apr 9, 201334SEC filing
Apr 9, 2013Amendment$0$0vs Apr 9, 201234SEC filing
Apr 9, 2012Initial$0No comparison34SEC filing

Offering details

Securities
Equity, Other
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-176355
Offering consists of the issuance and grant of certain units, which represent a profits interest in the Issuer, which were granted without cash consideration.
Limited Liability Company interests in the form of "Units"

Source: Form D, filed Mar 11, 2015. 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.

People and organizations reported in Form D filings
NameReported role
Emily Alejos Director, Executive
John Amboian Director
Jeffrey P. Cusack Executive
Constance Lawton Director, Executive
Glenn Richter Director
Andrew Thelen Director, Executive
Leora R. Weiner Executive

Issuer details

Industry: Other Banking and Financial Services (See others in industry)

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