Form D · Other Investment Fund
ULLICO DIVERSIFIED SMID CAP FUND, L.P.
Washington, DC · CIK 0001499962
Offering snapshot reported Jul 26, 2012 · SEC filing
- Reported sold
- $5.47M Indefinite offering
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- Nov 1, 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 |
|---|---|---|---|---|---|
| Jul 26, 2012 | Initial | $5,466,539 | No comparison | 1 | SEC filing |
| Jul 27, 2011 | Amendment | $5,000,000 | No comparison | 1 | SEC filing |
| Aug 27, 2010 | Initial | Yet to sell | No comparison | 0 | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $100K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-181800
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Ullico Investment Company, Inc. | 135195 |
Source: Form D, filed Jul 26, 2012. 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
ULLICO DIVERSIFIED SMID CAP FUND, L.P.
Investment adviser: ULLICO INVESTMENT ADVISORS, INC.
- Gross asset value
- $5.59M
- Beneficial owners
- 1
- ADV minimum commitment
- $1M
Reported in Form ADV on Aug 3, 2012. 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
- Yes
- Administrator other than the adviser
- No
- External marketing
- Yes
ULLICO INVESTMENT COMPANY, INC.
CRD 135195 · SEC 8-66906
Filing source
Form ADV 663259 · Aug 3, 2012 · Schedule D 7.B.(1), fund 805-8313215209
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 |
|---|---|
| William Cavanagh | Director, Executive |
| Adam Fried | Executive |
| Cathy Humphrey | Director, Executive |
| Peter Jones | Executive |
| Herbert Kolben | Director |
| Richard La Rocque | Executive |
| Joseph Linehan | Director, Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Washington, DC, 20006