PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 23, 2026, 11:04 PM ET

Sponsor Check › Aqr Global › Issuer

AQR DELTA Offshore Fund II Ltd.

Corporation · organized in CAYMAN ISLANDS · formed more than five years before filing · CAMANA BAY, GRAND CAYMAN, E9 · SEC CIK 1480774

Part of sponsor group: Aqr Global (272 issuers, 2046 filings) · grouped because: shared people, shared principal (person on 60+ issuers) at the same address or management entity, shared management entity, similar issuer names, director listed on many unrelated issuers (not used to group) · confidence 78% · Not the same sponsor? Request a correction

11Form D filings
$247,330,011max total sold reported
20investors (max reported)
2010–2019filing years
0new offerings, last 12 mo

Data last updated: Oct 23, 2026, 5:45 PM ET · Latest filing by this issuer: Oct 10, 2019 · Courts (RECAP) last checked: not yet · SEC enforcement last checked: not yet

Key records

The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.

1. Lawsuits

Not yet searched.

Sources to be searched: CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Search queued. Results are added automatically; check back later or follow this page to be notified.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.

Not yet searched.

Search queued. Results are added automatically; check back later or follow this page to be notified.

3. Bankruptcies

Not yet searched.

Sources to be searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Search queued. Results are added automatically; check back later or follow this page to be notified.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

No public statement by this issuer has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known only from an approved profile claim or its Form ADV) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this issuer yet.

5. Money to insiders and sales commissions

0 of 1 offering report sales commissions; 0 report finder's fees; 0 report proceeds to related persons.

SourceOffering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell it
EDGAR ↗Oct 10, 2019 D/A
File 021-143642
$0$0$0
The Investment Manager (or its affiliate) is entitled to receive an annual managment fee in an amount equal to a specified percentage of assets uner management.
AQR Investments, LLC BrokerCheck CRD 289244 ↗

As reported by the issuer on Form D (Items 12–15), latest filing per offering (one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Property records 0 documents · 0 ownership records · not yet checked

0 recorded documents and 0 ownership records matched to AQR DELTA Offshore Fund II Ltd. in the sources searched.

Not found in sources searched (no on-demand check has run yet): NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c); NYC PLUTO ownership via NYC Open Data (64uk-42ks); Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp); Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files). Records in other counties, and recorder indexes we do not yet cover, were not searched.

Property records coverage: New York City (ACRIS recorded documents and ownership, refreshed monthly); Hillsborough County FL (recorded documents from Oct 14, 2026 forward; ownership from FL DOR roll 2026); Cook County IL, Harris County TX, Dallas County TX (assessor ownership and deed/sale records only); Miami-Dade County FL (ownership from FL DOR roll only; Clerk recorded documents not yet searched). Recorder indexes for TX, AZ, IL and WA counties, mortgages and liens outside NYC and FL, lis pendens and foreclosure notices everywhere, Miami-Dade County FL recorded documents, Maricopa County AZ, King County WA, Salt Lake County UT, and all other counties are not yet searched. Last refresh: Oct 23, 2026, 11:04 PM ET. Sources searched: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET · Florida DOR NAL roll (Hillsborough 39) roll year 2026 — loaded Oct 23, 2026, 8:54 PM ET · Florida DOR NAL roll (Dade 23) roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET · Harris County Appraisal District real_acct.txt roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET · Dallas Central Appraisal District ACCOUNT_INFO.CSV roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET. Not yet searched for this issuer (queued): NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Counterparties that are not business entities are shown as "an individual (name withheld)"; residential addresses are never shown. Items still in human review are not shown.

Offerings (SEC Form D)

Each filing as reported by the issuer, newest first. Open a row for the full plain-English detail. D = original notice, D/A = amendment.

Offerings at a glance — 1 offering, 11 filings (one row per SEC file number)
File no.Original Form DLatest filingAmendmentsOffered (latest)Sold (latest)Industry (latest)
021-143642Jun 17, 2010 EDGAR ↗Oct 10, 2019 D/A EDGAR ↗10
latest Oct 10, 2019
Indefinite$247,330,011Pooled Investment Fund

Offerings are grouped by SEC file number; rows without a file number (not yet retrieved from EDGAR) are shown as their own offering until the link is fetched.

Oct 10, 2019 D/A Pooled Investment Fund — $247,330,011 sold of Indefinite · 20 investors EDGAR ↗
FilingForm D/A (amendment) filed Oct 10, 2019 · amends 0001405086-18-000217 ↗
SEC file no. 021-143642 · accession 0001405086-19-000324 · filing 11 of 11 in this offering
Raise progress$247,330,011 sold of Indefinite offered · Indefinite remaining · first sale Sep 1, 2011
Issuer's note: Includes all amounts sold by the issuer, whether pursuant to SEC Regulation D or Regulation S.
Filing timingDate of first sale: Sep 1, 2011 · Original Form D filed: Jun 17, 2010 (441 days before first sale) · This amendment (Form D/A) filed: Oct 10, 2019
This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn.
Time since first sale5,532 days (15.2 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Oct 10, 2019. Most recent amendment for this offering in our index: this filing, Oct 10, 2019.
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors20 total · issuer reported no non-accredited investors
Exemption claimedRule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only
Minimum investment accepted$5,000,000
Securities offeredPooled investment fund interests
Entity detailsOrganized in CAYMAN ISLANDS · formed more than five years before filing · net asset value range: Decline to Disclose (state and year as reported on the issuer's latest filing)
As reported by the issuer on Form D (Items 1–2 and 5).
IndustryPooled Investment Fund (Hedge Fund)
Who is paid to sell itAQR Investments, LLC — FINRA BrokerCheck CRD 289244 ↗
Solicits in: All States
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Issuer's note: Includes only sales commissions and finders' fees expenses paid by the issuer, if any. · Issuer's note: The Investment Manager (or its affiliate) is entitled to receive an annual managment fee in an amount equal to a specified percentage of assets uner management.
Signed byMatthew S. Eisenberg, Attorney-In-Fact for the Issuer (Oct 10, 2019)
Changes vs previous filing
  • sales-compensation recipients added (Oct 10, 2019): AQR Investments, LLC
Compared with the D/A filed Oct 22, 2018 (EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn.
Market contextMinimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000.
Offering size: Indefinite. Typical range: $155,000–$5,250,000.
Investors: 20. Typical range: 4–27.
"Similar" = Pooled Investment Fund, Rule 506(b). Based on 83,801 Form D filings 2021–2026 in the same industry and exemption (Pooled Investment Fund, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 42,272, offering size 46,794, investors 57,577. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Oct 22, 2018 D/A Pooled Investment Fund — $247,330,011 sold of Indefinite · 20 investors EDGAR ↗
FilingForm D/A (amendment) filed Oct 22, 2018 · amends 0001480774-17-000002 ↗
SEC file no. 021-143642 · accession 0001405086-18-000217 · filing 10 of 11 in this offering
Raise progress$247,330,011 sold of Indefinite offered · Indefinite remaining · first sale Sep 1, 2011
Filing timingDate of first sale: Sep 1, 2011 · Original Form D filed: Jun 17, 2010 (441 days before first sale) · This amendment (Form D/A) filed: Oct 22, 2018
This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn.
Time since first sale5,532 days (15.2 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Oct 22, 2018. Most recent amendment for this offering in our index: Oct 10, 2019 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors20 total · issuer reported no non-accredited investors
Exemption claimedRule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only
Minimum investment accepted$5,000,000
Securities offeredPooled investment fund interests
Entity detailsOrganized in CAYMAN ISLANDS · formed more than five years before filing · net asset value range: Decline to Disclose (state and year as reported on the issuer's latest filing)
As reported by the issuer on Form D (Items 1–2 and 5).
IndustryPooled Investment Fund (Hedge Fund)
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Issuer's note: The Investment Manager (or its affiliate) is entitled to receive an annual managment fee in an amount equal to a specified percentage of assets uner management.
Signed byBoris Liberman, Authorized Signatory (Oct 22, 2018)
Changes vs previous filing
  • related persons added (Oct 22, 2018): AQR Capital Management, LLC, CNH Partners, LLC
  • related persons no longer listed (Oct 22, 2018): Management, LLC AQR Capital, Partners, LLC CNH
Compared with the D/A filed Oct 25, 2017 (EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn.
Market contextMinimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000.
Offering size: Indefinite. Typical range: $155,000–$5,250,000.
Investors: 20. Typical range: 4–27.
"Similar" = Pooled Investment Fund, Rule 506(b). Based on 83,801 Form D filings 2021–2026 in the same industry and exemption (Pooled Investment Fund, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 42,272, offering size 46,794, investors 57,577. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Oct 25, 2017 D/A Pooled Investment Fund — $247,330,011 sold of Indefinite · 20 investors EDGAR ↗
FilingForm D/A (amendment) filed Oct 25, 2017 · amends 0001480774-16-000004 ↗
SEC file no. 021-143642 · accession 0001480774-17-000002 · filing 9 of 11 in this offering
Raise progress$247,330,011 sold of Indefinite offered · Indefinite remaining · first sale Sep 1, 2011
Filing timingDate of first sale: Sep 1, 2011 · Original Form D filed: Jun 17, 2010 (441 days before first sale) · This amendment (Form D/A) filed: Oct 25, 2017
This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn.
Time since first sale5,532 days (15.2 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Oct 25, 2017. Most recent amendment for this offering in our index: Oct 10, 2019 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors20 total · issuer reported no non-accredited investors
Exemption claimedRule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only
Minimum investment accepted$5,000,000
Securities offeredPooled investment fund interests
Entity detailsOrganized in CAYMAN ISLANDS · formed more than five years before filing · net asset value range: Decline to Disclose (state and year as reported on the issuer's latest filing)
As reported by the issuer on Form D (Items 1–2 and 5).
IndustryPooled Investment Fund (Hedge Fund)
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Issuer's note: The Investment Manager (or its affiliate) is entitled to receive an annual managment fee in an amount equal to a specified percentage of assets uner management.
Signed byBradley D. Asness, Principal (Oct 24, 2017)
Changes vs previous filing
  • related persons no longer listed (Oct 25, 2017): Todd Pulvino, Michael Mendelson, Clifford Asness, David Kabiller, Bradley Asness, Mark Mitchell, Brian Hurst, Ronen Israel, John Liew, Jacques Friedman, Robert Bryant
Compared with the D/A filed Oct 28, 2016 (EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn.
Market contextMinimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000.
Offering size: Indefinite. Typical range: $155,000–$5,250,000.
Investors: 20. Typical range: 4–27.
"Similar" = Pooled Investment Fund, Rule 506(b). Based on 83,801 Form D filings 2021–2026 in the same industry and exemption (Pooled Investment Fund, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 42,272, offering size 46,794, investors 57,577. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Oct 28, 2016 D/A Pooled Investment Fund — $247,330,011 sold of Indefinite · 20 investors EDGAR ↗
FilingForm D/A (amendment) filed Oct 28, 2016 · amends 0001480774-15-000002 ↗
SEC file no. 021-143642 · accession 0001480774-16-000004 · filing 8 of 11 in this offering
Raise progress$247,330,011 sold of Indefinite offered · Indefinite remaining · first sale Sep 1, 2011
Filing timingDate of first sale: Sep 1, 2011 · Original Form D filed: Jun 17, 2010 (441 days before first sale) · This amendment (Form D/A) filed: Oct 28, 2016
This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn.
Time since first sale5,532 days (15.2 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Oct 28, 2016. Most recent amendment for this offering in our index: Oct 10, 2019 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors20 total · issuer reported no non-accredited investors
Exemption claimedRule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only
Minimum investment accepted$5,000,000
Securities offeredPooled investment fund interests
Entity detailsOrganized in CAYMAN ISLANDS · formed more than five years before filing · net asset value range: Decline to Disclose (state and year as reported on the issuer's latest filing)
As reported by the issuer on Form D (Items 1–2 and 5).
IndustryPooled Investment Fund (Hedge Fund)
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Issuer's note: The Investment Manager (or its affiliate) is entitled to receive an annual managment fee in an amount equal to a specified percentage of assets uner management.
Signed byBradley D. Asness, Principal & Chief Legal Officer (Oct 28, 2016)
Changes vs previous filing
  • total sold: $238,780,011 (Dec 7, 2015) → $247,330,011 (Oct 28, 2016)
  • investors: 19 (Dec 7, 2015) → 20 (Oct 28, 2016)
  • related persons added (Oct 28, 2016): Todd Pulvino, Partners, LLC CNH, Mark Mitchell, Robert Bryant
Compared with the D/A filed Dec 7, 2015 (EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn.
Market contextMinimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000.
Offering size: Indefinite. Typical range: $155,000–$5,250,000.
Investors: 20. Typical range: 4–27.
"Similar" = Pooled Investment Fund, Rule 506(b). Based on 83,801 Form D filings 2021–2026 in the same industry and exemption (Pooled Investment Fund, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 42,272, offering size 46,794, investors 57,577. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Dec 7, 2015 D/A Pooled Investment Fund — $238,780,011 sold of Indefinite · 19 investors EDGAR ↗
FilingForm D/A (amendment) filed Dec 7, 2015 · amends 0001480774-14-000001 ↗
SEC file no. 021-143642 · accession 0001480774-15-000002 · filing 7 of 11 in this offering
Raise progress$238,780,011 sold of Indefinite offered · Indefinite remaining · first sale Sep 1, 2011
Filing timingDate of first sale: Sep 1, 2011 · Original Form D filed: Jun 17, 2010 (441 days before first sale) · This amendment (Form D/A) filed: Dec 7, 2015
This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn.
Time since first sale5,532 days (15.2 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Dec 7, 2015. Most recent amendment for this offering in our index: Oct 10, 2019 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors19 total · issuer reported no non-accredited investors
Exemption claimedRule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only
Minimum investment accepted$5,000,000
Securities offeredPooled investment fund interests
Entity detailsOrganized in CAYMAN ISLANDS · formed more than five years before filing · net asset value range: Decline to Disclose (state and year as reported on the issuer's latest filing)
As reported by the issuer on Form D (Items 1–2 and 5).
IndustryPooled Investment Fund (Hedge Fund)
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Issuer's note: The Investment Manager (or its affiliate) is entitled to receive an annual managment fee in an amount equal to a specified percentage of assets uner management.
Signed byBradley D. Asness, Principal & Chief Legal Officer (Dec 7, 2015)
Changes vs previous filing
  • total sold: $236,880,011 (Nov 5, 2015) → $238,780,011 (Dec 7, 2015)
  • related persons added (Dec 7, 2015): David Kabiller
  • related persons no longer listed (Dec 7, 2015): Todd Pulvino, Mark Mitchell, CNH Partners, LLC
Compared with the D/A filed Nov 5, 2015 (EDGAR ↗). The issuer's form cites 0001480774-14-000001 as the filing it amends; the comparison here is with the filing immediately before this one in the same offering. Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn.
Market contextMinimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000.
Offering size: Indefinite. Typical range: $155,000–$5,250,000.
Investors: 19. Typical range: 4–27.
"Similar" = Pooled Investment Fund, Rule 506(b). Based on 83,801 Form D filings 2021–2026 in the same industry and exemption (Pooled Investment Fund, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 42,272, offering size 46,794, investors 57,577. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Nov 5, 2015 D/A Pooled Investment Fund — $236,880,011 sold of Indefinite · 19 investors EDGAR ↗
FilingForm D/A (amendment) filed Nov 5, 2015 · amends 0001480774-14-000001 ↗
SEC file no. 021-143642 · accession 0001480774-15-000001 · filing 6 of 11 in this offering
Raise progress$236,880,011 sold of Indefinite offered · Indefinite remaining · first sale Sep 1, 2011
Filing timingDate of first sale: Sep 1, 2011 · Original Form D filed: Jun 17, 2010 (441 days before first sale) · This amendment (Form D/A) filed: Nov 5, 2015
This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn.
Time since first sale5,532 days (15.2 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Nov 5, 2015. Most recent amendment for this offering in our index: Oct 10, 2019 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors19 total · issuer reported no non-accredited investors
Exemption claimedRule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only
Minimum investment accepted$5,000,000
Securities offeredPooled investment fund interests
Entity detailsOrganized in CAYMAN ISLANDS · formed more than five years before filing · net asset value range: Decline to Disclose (state and year as reported on the issuer's latest filing)
As reported by the issuer on Form D (Items 1–2 and 5).
IndustryPooled Investment Fund (Hedge Fund)
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Issuer's note: The Investment Manager (or its affiliate) is entitled to receive an annual managment fee in an amount equal to a specified percentage of assets uner management.
Signed byBradley D. Asness, Principal & Chief Legal Officer (Nov 5, 2015)
Changes vs previous filing
  • related persons added (Nov 5, 2015): Todd Pulvino, Mark Mitchell, CNH Partners, LLC
  • related persons no longer listed (Nov 5, 2015): David Kabiller
Compared with the D/A filed Dec 30, 2014 (EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn.
Market contextMinimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000.
Offering size: Indefinite. Typical range: $155,000–$5,250,000.
Investors: 19. Typical range: 4–27.
"Similar" = Pooled Investment Fund, Rule 506(b). Based on 83,801 Form D filings 2021–2026 in the same industry and exemption (Pooled Investment Fund, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 42,272, offering size 46,794, investors 57,577. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Dec 30, 2014 D/A Pooled Investment Fund — $236,880,011 sold of Indefinite · 19 investors EDGAR ↗
FilingForm D/A (amendment) filed Dec 30, 2014 · amends 0001480774-13-000001 ↗
SEC file no. 021-143642 · accession 0001480774-14-000001 · filing 5 of 11 in this offering
Raise progress$236,880,011 sold of Indefinite offered · Indefinite remaining · first sale Sep 1, 2011
Filing timingDate of first sale: Sep 1, 2011 · Original Form D filed: Jun 17, 2010 (441 days before first sale) · This amendment (Form D/A) filed: Dec 30, 2014
This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn.
Time since first sale5,532 days (15.2 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Dec 30, 2014. Most recent amendment for this offering in our index: Oct 10, 2019 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors19 total · issuer reported no non-accredited investors
Exemption claimedRule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only
Minimum investment accepted$5,000,000
Securities offeredPooled investment fund interests
Entity detailsOrganized in CAYMAN ISLANDS · formed more than five years before filing · net asset value range: Decline to Disclose (state and year as reported on the issuer's latest filing)
As reported by the issuer on Form D (Items 1–2 and 5).
IndustryPooled Investment Fund (Hedge Fund)
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Issuer's note: The Investment Manager (or its affiliate) is entitled to receive an annual managment fee in an amount equal to a specified percentage of assets uner management.
Signed byBradley D. Asness, Principal & Chief Legal Officer (Dec 30, 2014)
Changes vs previous filing
  • total sold: $232,880,011 (Jun 13, 2013) → $236,880,011 (Dec 30, 2014)
  • investors: 15 (Jun 13, 2013) → 19 (Dec 30, 2014)
  • exemption: Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)); Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only (Jun 13, 2013) → Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only (Dec 30, 2014)
  • related persons added (Dec 30, 2014): Jonathan Roney, Management, LLC AQR Capital
  • related persons no longer listed (Dec 30, 2014): Stephen Mellas, Oktay Kurbanov, Lasse Pedersen, Yao Hua Ooi, Abdon Bolivar, Jennifer Collins, Gregor Andrade, Jeffrey Dunn, Marco Hanig, John Howard, Jeremy Getson, Lars Nielsen
Compared with the D/A filed Jun 13, 2013 (EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn.
Market contextMinimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000.
Offering size: Indefinite. Typical range: $155,000–$5,250,000.
Investors: 19. Typical range: 4–27.
"Similar" = Pooled Investment Fund, Rule 506(b). Based on 83,801 Form D filings 2021–2026 in the same industry and exemption (Pooled Investment Fund, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 42,272, offering size 46,794, investors 57,577. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Jun 13, 2013 D/A Pooled Investment Fund — $232,880,011 sold of Indefinite · 15 investors EDGAR ↗
FilingForm D/A (amendment) filed Jun 13, 2013 · amends 0001480774-12-000001 ↗
SEC file no. 021-143642 · accession 0001480774-13-000001 · filing 4 of 11 in this offering
Raise progress$232,880,011 sold of Indefinite offered · Indefinite remaining · first sale Sep 1, 2011
Filing timingDate of first sale: Sep 1, 2011 · Original Form D filed: Jun 17, 2010 (441 days before first sale) · This amendment (Form D/A) filed: Jun 13, 2013
This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn.
Time since first sale5,532 days (15.2 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Jun 13, 2013. Most recent amendment for this offering in our index: Oct 10, 2019 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors15 total · issuer reported no non-accredited investors
Exemption claimedRule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)); Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only
Minimum investment accepted$5,000,000
Securities offeredPooled investment fund interests
Entity detailsOrganized in CAYMAN ISLANDS · formed more than five years before filing · net asset value range: Decline to Disclose (state and year as reported on the issuer's latest filing)
As reported by the issuer on Form D (Items 1–2 and 5).
IndustryPooled Investment Fund (Hedge Fund)
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Issuer's note: The Investment Manager (or its affiliate) is entitled to receive an annual managment fee in an amount equal to a specified percentage of assets uner management.
Signed byBradley D. Asness, Principal & Chief Legal Officer (Jun 13, 2013)
Changes vs previous filing
  • total sold: $41,930,011 (Jun 14, 2012) → $232,880,011 (Jun 13, 2013)
  • investors: 12 (Jun 14, 2012) → 15 (Jun 13, 2013)
  • related persons added (Jun 13, 2013): Colin MacKay
  • related persons no longer listed (Jun 13, 2013): Jennifer Parsons
Compared with the D/A filed Jun 14, 2012 (EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn.
Market contextMinimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000.
Offering size: Indefinite. Typical range: $155,000–$5,250,000.
Investors: 15. Typical range: 4–27.
"Similar" = Pooled Investment Fund, Rule 506(b). Based on 83,801 Form D filings 2021–2026 in the same industry and exemption (Pooled Investment Fund, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 42,272, offering size 46,794, investors 57,577. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Jun 14, 2012 D/A Pooled Investment Fund — $41,930,011 sold of Indefinite · 12 investors EDGAR ↗
FilingForm D/A (amendment) filed Jun 14, 2012 · amends 0001480774-11-000001 ↗
SEC file no. 021-143642 · accession 0001480774-12-000001 · filing 3 of 11 in this offering
Raise progress$41,930,011 sold of Indefinite offered · Indefinite remaining · first sale Sep 1, 2011
Filing timingDate of first sale: Sep 1, 2011 · Original Form D filed: Jun 17, 2010 (441 days before first sale) · This amendment (Form D/A) filed: Jun 14, 2012
This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn.
Time since first sale5,532 days (15.2 years)
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Jun 14, 2012. Most recent amendment for this offering in our index: Oct 10, 2019 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors12 total · issuer reported no non-accredited investors
Exemption claimedRule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)); Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only
Minimum investment accepted$5,000,000
Securities offeredPooled investment fund interests
Entity detailsOrganized in CAYMAN ISLANDS · formed more than five years before filing · net asset value range: Decline to Disclose (state and year as reported on the issuer's latest filing)
As reported by the issuer on Form D (Items 1–2 and 5).
IndustryPooled Investment Fund (Hedge Fund)
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Issuer's note: The Investment Manager (or its affiliate) is entitled to receive an annual managment fee in an amount equal to a specified percentage of assets uner management.
Signed byBradley D. Asness, Principal & Chief Legal Officer (Jun 14, 2012)
Changes vs previous filing
  • total sold: $0 (Jun 14, 2011) → $41,930,011 (Jun 14, 2012)
  • investors: 0 (Jun 14, 2011) → 12 (Jun 14, 2012)
  • date of first sale: Yet to occur (Jun 14, 2011) → Sep 1, 2011 (Jun 14, 2012)
  • related persons added (Jun 14, 2012): Jennifer Collins, Marco Hanig, Yao Hua Ooi, Jeffrey Dunn, Jennifer Parsons
  • related persons no longer listed (Jun 14, 2012): Robert Krail, Vijayabalan Murugesu, Philip Hughes
Compared with the D/A filed Jun 14, 2011 (EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn.
Market contextMinimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000.
Offering size: Indefinite. Typical range: $155,000–$5,250,000.
Investors: 12. Typical range: 4–27.
"Similar" = Pooled Investment Fund, Rule 506(b). Based on 83,801 Form D filings 2021–2026 in the same industry and exemption (Pooled Investment Fund, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 42,272, offering size 46,794, investors 57,577. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Jun 14, 2011 D/A Pooled Investment Fund — $0 sold of Indefinite · 0 investors EDGAR ↗
FilingForm D/A (amendment) filed Jun 14, 2011 · amends 0001480774-10-000002 ↗
SEC file no. 021-143642 · accession 0001480774-11-000001 · filing 2 of 11 in this offering
Raise progress$0 sold of Indefinite offered · Indefinite remaining
Filing timingDate of first sale: Yet to occur · Original Form D filed: Jun 17, 2010 · This amendment (Form D/A) filed: Jun 14, 2011
This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn.
Annual amendmentsIssuer reported the offering may last more than one year. This filing is an amendment dated Jun 14, 2011. Most recent amendment for this offering in our index: Oct 10, 2019 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors0 total · issuer reported no non-accredited investors
Exemption claimedRule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)); Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only
Minimum investment accepted$5,000,000
Securities offeredPooled investment fund interests
Entity detailsOrganized in CAYMAN ISLANDS · formed more than five years before filing · net asset value range: Decline to Disclose (state and year as reported on the issuer's latest filing)
As reported by the issuer on Form D (Items 1–2 and 5).
IndustryPooled Investment Fund (Hedge Fund)
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Issuer's note: The Investment Manager (or its affiliate) is entitled to receive an annual managment fee in an amount equal to a specified percentage of assets uner management.
Signed byBradley D. Asness, Principal (Jun 14, 2011)
Changes vs previous filing
  • related persons added (Jun 14, 2011): John Howard, Jeremy Getson
Compared with the D filed Jun 17, 2010 (EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn.
Market contextMinimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000.
Offering size: Indefinite. Typical range: $155,000–$5,250,000.
Investors: 0. Typical range: 4–27.
"Similar" = Pooled Investment Fund, Rule 506(b). Based on 83,801 Form D filings 2021–2026 in the same industry and exemption (Pooled Investment Fund, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 42,272, offering size 46,794, investors 57,577. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Jun 17, 2010 D Pooled Investment Fund — $0 sold of Indefinite · 0 investors EDGAR ↗
FilingForm D filed Jun 17, 2010
SEC file no. 021-143642 · accession 0001480774-10-000002 · filing 1 of 11 in this offering
Raise progress$0 sold of Indefinite offered · Indefinite remaining
Filing timingDate of first sale: Yet to occur · Form D filed: Jun 17, 2010
Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn.
Annual amendmentsIssuer reported the offering may last more than one year. Most recent amendment for this offering in our index: Oct 10, 2019 (EDGAR ↗).
Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors0 total · issuer reported no non-accredited investors
Exemption claimedRule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)); Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only
Minimum investment accepted$5,000,000
Securities offeredPooled investment fund interests
Entity detailsOrganized in CAYMAN ISLANDS · formed more than five years before filing · net asset value range: Decline to Disclose (state and year as reported on the issuer's latest filing)
As reported by the issuer on Form D (Items 1–2 and 5).
IndustryPooled Investment Fund (Hedge Fund)
Who is paid to sell itNo sales compensation recipients listed on this filing.
Money to insidersSales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0
Issuer's note: The Investment Manager (or its affiliate) is entitled to receive an annual managment fee in an amount equal to a specified percentage of assets uner management.
Signed byBradley D. Asness, Principal & Co-General Counsel (Jun 17, 2010)
Market contextMinimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000.
Offering size: Indefinite. Typical range: $155,000–$5,250,000.
Investors: 0. Typical range: 4–27.
"Similar" = Pooled Investment Fund, Rule 506(b). Based on 83,801 Form D filings 2021–2026 in the same industry and exemption (Pooled Investment Fund, Rule 506(b); original Form D notices, one per offering) (Form D data, SEC). Ranges are the middle half (25th–75th percentile) of the filings that reported each value: minimum investment 42,272, offering size 46,794, investors 57,577. Computed by PartnerFacts as of Oct 23, 2026, 5:45 PM ET. No ranking or score. Source: PartnerFacts data & coverage.
SourceThis filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET
Amendment history — 10 amendments on this page, each compared with the filing before it in the same offering
Amendment filedFile no.Compared withWhat changed (both values as filed)
Oct 10, 2019 EDGAR ↗021-143642Oct 22, 2018 D/Asales-compensation recipients added (Oct 10, 2019): AQR Investments, LLC
Oct 22, 2018 EDGAR ↗021-143642Oct 25, 2017 D/Arelated persons added (Oct 22, 2018): AQR Capital Management, LLC, CNH Partners, LLC · related persons no longer listed (Oct 22, 2018): Management, LLC AQR Capital, Partners, LLC CNH
Oct 25, 2017 EDGAR ↗021-143642Oct 28, 2016 D/Arelated persons no longer listed (Oct 25, 2017): Todd Pulvino, Michael Mendelson, Clifford Asness, David Kabiller, Bradley Asness, Mark Mitchell, Brian Hurst, Ronen Israel, John Liew, Jacques Friedman, Robert Bryant
Oct 28, 2016 EDGAR ↗021-143642Dec 7, 2015 D/Atotal sold: $238,780,011 (Dec 7, 2015) → $247,330,011 (Oct 28, 2016) · investors: 19 (Dec 7, 2015) → 20 (Oct 28, 2016) · related persons added (Oct 28, 2016): Todd Pulvino, Partners, LLC CNH, Mark Mitchell, Robert Bryant
Dec 7, 2015 EDGAR ↗021-143642Nov 5, 2015 D/Atotal sold: $236,880,011 (Nov 5, 2015) → $238,780,011 (Dec 7, 2015) · related persons added (Dec 7, 2015): David Kabiller · related persons no longer listed (Dec 7, 2015): Todd Pulvino, Mark Mitchell, CNH Partners, LLC
Nov 5, 2015 EDGAR ↗021-143642Dec 30, 2014 D/Arelated persons added (Nov 5, 2015): Todd Pulvino, Mark Mitchell, CNH Partners, LLC · related persons no longer listed (Nov 5, 2015): David Kabiller
Dec 30, 2014 EDGAR ↗021-143642Jun 13, 2013 D/Atotal sold: $232,880,011 (Jun 13, 2013) → $236,880,011 (Dec 30, 2014) · investors: 15 (Jun 13, 2013) → 19 (Dec 30, 2014) · exemption: Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)); Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only (Jun 13, 2013) → Rule 506(b) — no general advertising; up to 35 non-accredited investors allowed; Investment Company Act 3(c) private-fund exclusion — the issuer is a fund not registered as an investment company; Investment Company Act 3(c)(7) — private fund open to qualified purchasers only (Dec 30, 2014) · and 2 more (open the filing above)
Jun 13, 2013 EDGAR ↗021-143642Jun 14, 2012 D/Atotal sold: $41,930,011 (Jun 14, 2012) → $232,880,011 (Jun 13, 2013) · investors: 12 (Jun 14, 2012) → 15 (Jun 13, 2013) · related persons added (Jun 13, 2013): Colin MacKay · and 1 more (open the filing above)
Jun 14, 2012 EDGAR ↗021-143642Jun 14, 2011 D/Atotal sold: $0 (Jun 14, 2011) → $41,930,011 (Jun 14, 2012) · investors: 0 (Jun 14, 2011) → 12 (Jun 14, 2012) · date of first sale: Yet to occur (Jun 14, 2011) → Sep 1, 2011 (Jun 14, 2012) · and 2 more (open the filing above)
Jun 14, 2011 EDGAR ↗021-143642Jun 17, 2010 Drelated persons added (Jun 14, 2011): John Howard, Jeremy Getson

Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Values as filed; no conclusion is drawn.

All Form D filings for this CIK on SEC EDGAR ↗. History: 0 new offerings in the last 12 months (new offering = a Form D that is not an amendment) · most recent filing Oct 10, 2019. Industry as reported, by offering: One offering, reported as Pooled Investment Fund (Jun 17, 2010).

Key people (related persons as listed on Form D)

NameRelationshipAddress stateOn filings (first → last)Also listed on
AQR Capital Management, LLC entity
also filed as AQR Capital Management; LLC
Executive Officer
Issuer's note: AQR Capital Management, LLC is the Investment Manager of the Issuer.
CTOct 22, 2018 → Oct 10, 2019
on 2 of 11 filings
listed on the latest filing
603 other issuers
CNH Partners, LLC entity
also filed as CNH Partners; LLC
Executive Officer
Issuer's note: CNH Partners, LLC acts as sub-advisor to AQR Capital Management, LLC in respect of the Issuer.
CTNov 5, 2015 → Oct 10, 2019
on 3 of 11 filings
listed on the latest filing
19 other issuers
Colin MacKayDirectorE9Jun 13, 2013 → Oct 10, 2019
on 8 of 11 filings
listed on the latest filing
71 other issuers
Jonathan RoneyDirectorE9Dec 30, 2014 → Oct 10, 2019
on 7 of 11 filings
listed on the latest filing
90 other issuers
Management, LLC AQR Capital
also filed as Management; LLC AQR Capital
Executive Officer
Issuer's note: AQR Capital Management, LLC, is the Investment Manager of the Issuer.
CTDec 30, 2014 → Oct 25, 2017
on 5 of 11 filings
not listed on the latest filing (Oct 10, 2019)
204 other issuers
Partners, LLC CNH
also filed as Partners; LLC CNH
Executive Officer
Issuer's note: CNH Partners, LLC, is the Sub-Advisor of the Issuer.
CTOct 28, 2016 → Oct 25, 2017
on 2 of 11 filings
not listed on the latest filing (Oct 10, 2019)
15 other issuers
Bradley AsnessExecutive Officer
Issuer's note: Bradley Asness is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Oct 28, 2016
on 8 of 11 filings
not listed on the latest filing (Oct 10, 2019)
147 other issuers
Brian HurstExecutive Officer
Issuer's note: Brian Hurst is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Oct 28, 2016
on 8 of 11 filings
not listed on the latest filing (Oct 10, 2019)
97 other issuers
Clifford AsnessExecutive Officer
Issuer's note: Clifford Asness is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Oct 28, 2016
on 8 of 11 filings
not listed on the latest filing (Oct 10, 2019)
157 other issuers
David KabillerExecutive Officer
Issuer's note: David Kabiller is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Oct 28, 2016
on 7 of 11 filings
not listed on the latest filing (Oct 10, 2019)
143 other issuers
Jacques FriedmanExecutive Officer
Issuer's note: Jacques Friedman is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Oct 28, 2016
on 8 of 11 filings
not listed on the latest filing (Oct 10, 2019)
98 other issuers
John LiewExecutive Officer
Issuer's note: John Liew is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Oct 28, 2016
on 8 of 11 filings
not listed on the latest filing (Oct 10, 2019)
156 other issuers
Mark MitchellExecutive Officer
Issuer's note: Mark Mitchell is an Executive Officer of CNH Partners, LLC, the Sub-Advisor of the Issuer.
CTNov 5, 2015 → Oct 28, 2016
on 2 of 11 filings
not listed on the latest filing (Oct 10, 2019)
27 other issuers
Michael MendelsonExecutive Officer
Issuer's note: Michael Mendelson is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Oct 28, 2016
on 8 of 11 filings
not listed on the latest filing (Oct 10, 2019)
85 other issuers
Robert BryantExecutive Officer
Issuer's note: Robert Bryant is an Executive Officer of CNH Partners, LLC, the Sub-Advisor of the Issuer.
CTOct 28, 2016
on 1 of 11 filings
not listed on the latest filing (Oct 10, 2019)
15 other issuers
Ronen IsraelExecutive Officer
Issuer's note: Ronen Israel is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Oct 28, 2016
on 8 of 11 filings
not listed on the latest filing (Oct 10, 2019)
138 other issuers
Todd PulvinoExecutive Officer
Issuer's note: Todd Pulvino is an Executive Officer of CNH Partners, LLC, the Sub-Advisor of the Issuer.
CTNov 5, 2015 → Oct 28, 2016
on 2 of 11 filings
not listed on the latest filing (Oct 10, 2019)
25 other issuers
Abdon BolivarExecutive Officer
Issuer's note: Abdon Bolivar is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Jun 13, 2013
on 4 of 11 filings
not listed on the latest filing (Oct 10, 2019)
86 other issuers
Gregor AndradeExecutive Officer
Issuer's note: Gregor Andrade is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Jun 13, 2013
on 4 of 11 filings
not listed on the latest filing (Oct 10, 2019)
69 other issuers
Jeffrey DunnExecutive Officer
Issuer's note: Jeffrey Dunn is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 14, 2012 → Jun 13, 2013
on 2 of 11 filings
not listed on the latest filing (Oct 10, 2019)
58 other issuers
Jennifer CollinsDirectorE9Jun 14, 2012 → Jun 13, 2013
on 2 of 11 filings
not listed on the latest filing (Oct 10, 2019)
137 other issuers
Jeremy GetsonExecutive Officer
Issuer's note: Jeremy Getson is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 14, 2011 → Jun 13, 2013
on 3 of 11 filings
not listed on the latest filing (Oct 10, 2019)
58 other issuers
John HowardExecutive Officer
Issuer's note: John Howard is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 14, 2011 → Jun 13, 2013
on 3 of 11 filings
not listed on the latest filing (Oct 10, 2019)
90 other issuers
Lars NielsenExecutive Officer
Issuer's note: Lars Nielsen is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Jun 13, 2013
on 4 of 11 filings
not listed on the latest filing (Oct 10, 2019)
83 other issuers
Lasse PedersenExecutive Officer
Issuer's note: Lasse Pedersen is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Jun 13, 2013
on 4 of 11 filings
not listed on the latest filing (Oct 10, 2019)
70 other issuers
Marco HanigExecutive Officer
Issuer's note: Marco Hanig is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 14, 2012 → Jun 13, 2013
on 2 of 11 filings
not listed on the latest filing (Oct 10, 2019)
58 other issuers
Oktay KurbanovExecutive Officer
Issuer's note: Oktay Kurbanov is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Jun 13, 2013
on 4 of 11 filings
not listed on the latest filing (Oct 10, 2019)
94 other issuers
Stephen MellasExecutive Officer
Issuer's note: Stephen Mellas is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Jun 13, 2013
on 4 of 11 filings
not listed on the latest filing (Oct 10, 2019)
65 other issuers
Yao Hua OoiExecutive Officer
Issuer's note: Yao Hua Ooi is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 14, 2012 → Jun 13, 2013
on 2 of 11 filings
not listed on the latest filing (Oct 10, 2019)
141 other issuers
Jennifer ParsonsDirectorE9Jun 14, 2012
on 1 of 11 filings
not listed on the latest filing (Oct 10, 2019)
—
Philip HughesDirectorE9Jun 17, 2010 → Jun 14, 2011
on 2 of 11 filings
not listed on the latest filing (Oct 10, 2019)
50 other issuers
Robert KrailExecutive Officer
Issuer's note: Robert Krail is an executive officer of AQR Capital Management, LLC, the Investment Manager of the Issuer.
CTJun 17, 2010 → Jun 14, 2011
on 2 of 11 filings
not listed on the latest filing (Oct 10, 2019)
33 other issuers
Vijayabalan MurugesuDirectorE9Jun 17, 2010 → Jun 14, 2011
on 2 of 11 filings
not listed on the latest filing (Oct 10, 2019)
92 other issuers

Executive officers, directors and promoters as self-reported by the issuer; spelling variants of one person are merged. Licensed persons: FINRA BrokerCheck ↗ · SEC IAPD ↗.

Connections

Other issuers listing the same people (showing 40 of 358):

Shared address: this business address appears on filings for 16 other issuers. Stated as a count only (suite numbers ignored) — many addresses are shared office buildings or registered agents. As of Oct 23, 2026, 5:45 PM ET.

Address of record is shared by 624 issuers in SEC Form D filings (registered agent / corporate-services firm, PartnerFacts count as of Oct 23, 2026, 5:45 PM ET) — not used to group this issuer.

Other offering types (Regulation A and Regulation Crowdfunding)

None found in sources searched.

Sources searched: SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 · Last checked Oct 23, 2026, 8:41 PM ET.

Adviser registration (Form ADV)

AQR ARBITRAGE, LLC — SEC-registered investment adviser · SEC registration status as reported: “Approved” since Nov 5, 2001 · SEC file 801-60678 · Main office: GREENWICH, CT · IAPD record ↗ · Form ADV filing (PDF) ↗

Regulatory assets under management: $4,384,055,877 as reported on Form ADV filed Mar 31, 2026 (Item 5.F(2)(c)) · 15 accounts (Item 5.F(2)(f))

Item 11 disclosure questions as answered on Form ADV filed Mar 31, 2026: 2 of 24 answered “Yes” · Item 11 (any event involving the firm or its supervised persons): No
  • Yes — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
  • Yes — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
  • No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
  • No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
  • No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
  • No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
  • No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
  • No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
  • No — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
  • No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
  • No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
  • No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
  • No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
  • No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
  • No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
  • No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
  • No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
  • No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
  • No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”

Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.

Matched on management entity listed on Form D = adviser name, business address on Form ADV = address on Form D, state · match confidence 100% · Form ADV data: SEC Investment Adviser Information Report (SEC-registered advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 8:27 PM ET

AQR CAPITAL MANAGEMENT, LLC — SEC-registered investment adviser · SEC registration status as reported: “Approved” since May 13, 1998 · SEC file 801-55543 · Main office: GREENWICH, CT · IAPD record ↗ · Form ADV filing (PDF) ↗

Regulatory assets under management: $311,703,264,770 as reported on Form ADV filed Aug 27, 2026 (Item 5.F(2)(c)) · 723 accounts (Item 5.F(2)(f))

Websites listed on Form ADV (Item 1.I): WWW.AQR.COM ↗

Item 11 disclosure questions as answered on Form ADV filed Aug 27, 2026: 0 of 24 answered “Yes” · Item 11 (any event involving the firm or its supervised persons): No
  • No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
  • No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
  • No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
  • No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
  • No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
  • No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
  • No — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
  • No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
  • No — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
  • No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
  • No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
  • No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
  • No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
  • No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
  • No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
  • No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
  • No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
  • No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
  • No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”

Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.

Matched on management entity listed on Form D = adviser name, business address on Form ADV = address on Form D, state · match confidence 100% · Form ADV data: SEC Investment Adviser Information Report (SEC-registered advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 10:59 PM ET

Public profiles

Public profiles official links and public statements, each with its source and date

Not yet collected.

Sources to be searched: sponsor website, Internet Archive, press index (GDELT), Form ADV. A sponsor's website is known only from an approved profile claim or the issuer's own Form ADV; we never look it up elsewhere and never collect personal or family accounts.

Entity standing: not checked (no official programmatic source for E9 yet).

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Filing-to-filing changes are in Amendment history above.

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