CNH Finance Fund I, L.P.

Source	Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it
EDGAR ↗	Jan 31, 2019 D/A File 021-162254	$0	$0	$0 The investment manager (or its) affiliate is entitled to receive an annual management fee in an amount equal to a specified percentage of assets under management.	None listed on this filing

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, 8 filings (one row per SEC file number)

File no.	Original Form D	Latest filing	Amendments	Offered (latest)	Sold (latest)	Industry (latest)
021-162254	Jul 5, 2011 EDGAR ↗	Jan 31, 2019 D/A EDGAR ↗	7 latest Jan 31, 2019	Indefinite	$51,800,000	Pooled 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.

Jan 31, 2019 D/A Pooled Investment Fund — $51,800,000 sold of Indefinite · 13 investors EDGAR ↗

Filing	Form D/A (amendment) filed Jan 31, 2019 · amends 0001524536-11-000001 ↗ SEC file no. 021-162254 · accession 0001213900-19-001509 · filing 8 of 8 in this offering
Raise progress	$51,800,000 sold of Indefinite offered · Indefinite remaining · first sale Jun 22, 2012
Filing timing	Date of first sale: Jun 22, 2012 · Original Form D filed: Jul 5, 2011 (353 days before first sale) · This amendment (Form D/A) filed: Jan 31, 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 sale	5,237 days (14.3 years)
Annual amendments	Issuer reported the offering may last more than one year. This filing is an amendment dated Jan 31, 2019. Most recent amendment for this offering in our index: this filing, Jan 31, 2019. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors	13 total · issuer reported no non-accredited investors
Exemption claimed	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
Minimum investment accepted	$5,000,000
Securities offered	Equity; Pooled investment fund interests
Entity details	Organized in DELAWARE · 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).
Industry	Pooled Investment Fund (Hedge Fund)
Who is paid to sell it	No sales compensation recipients listed on this filing.
Money to insiders	Sales 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 management fee in an amount equal to a specified percentage of assets under management.
Signed by	Timothy Peters, Manager of the General Partner of the Issuer (Jan 31, 2019)
Changes vs previous filing	total sold: $35,993,299 (Oct 25, 2017) → $51,800,000 (Jan 31, 2019) securities offered: Pooled investment fund interests (Oct 25, 2017) → Equity; Pooled investment fund interests (Jan 31, 2019) related persons added (Jan 31, 2019): CNH Finance GP, LLC, Ronen Israel, 18North Advisors LLC, Timothy Peters related persons no longer listed (Jan 31, 2019): Todd Pulvino, Partners, LLC CNH, Partners II, LLC CNH Principal Compared with the D/A filed Oct 25, 2017 (EDGAR ↗). The issuer's form cites 0001524536-11-000001 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 context	Minimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 13. 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.
Source	This 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 — $35,993,299 sold of Indefinite · 13 investors EDGAR ↗

Filing	Form D/A (amendment) filed Oct 25, 2017 · amends 0001524536-16-000002 ↗ SEC file no. 021-162254 · accession 0001480774-17-000003 · filing 7 of 8 in this offering
Raise progress	$35,993,299 sold of Indefinite offered · Indefinite remaining · first sale Jun 22, 2012
Filing timing	Date of first sale: Jun 22, 2012 · Original Form D filed: Jul 5, 2011 (353 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 sale	5,237 days (14.3 years)
Annual amendments	Issuer 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: Jan 31, 2019 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors	13 total · issuer reported no non-accredited investors
Exemption claimed	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
Minimum investment accepted	$5,000,000
Securities offered	Pooled investment fund interests
Entity details	Organized in DELAWARE · 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).
Industry	Pooled Investment Fund (Hedge Fund)
Who is paid to sell it	No sales compensation recipients listed on this filing.
Money to insiders	Sales 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 management fee in an amount equal to a specified percentage of assets under management.
Signed by	Bradley D. Asness, Authorized Person (Oct 24, 2017)
Changes vs previous filing	No change in the fields compared. Compared with the D/A filed Oct 24, 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 context	Minimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 13. 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.
Source	This 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 24, 2016 D/A Pooled Investment Fund — $35,993,299 sold of Indefinite · 13 investors EDGAR ↗

Filing	Form D/A (amendment) filed Oct 24, 2016 · amends 0001551448-15-000005 ↗ SEC file no. 021-162254 · accession 0001524536-16-000002 · filing 6 of 8 in this offering
Raise progress	$35,993,299 sold of Indefinite offered · Indefinite remaining · first sale Jun 22, 2012
Filing timing	Date of first sale: Jun 22, 2012 · Original Form D filed: Jul 5, 2011 (353 days before first sale) · This amendment (Form D/A) filed: Oct 24, 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 sale	5,237 days (14.3 years)
Annual amendments	Issuer reported the offering may last more than one year. This filing is an amendment dated Oct 24, 2016. Most recent amendment for this offering in our index: Jan 31, 2019 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors	13 total · issuer reported no non-accredited investors
Exemption claimed	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
Minimum investment accepted	$5,000,000
Securities offered	Pooled investment fund interests
Entity details	Organized in DELAWARE · 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).
Industry	Pooled Investment Fund (Hedge Fund)
Who is paid to sell it	No sales compensation recipients listed on this filing.
Money to insiders	Sales 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 management fee in an amount equal to a specified percentage of assets under management.
Signed by	Bradley D. Asness, Authorized Person (Oct 24, 2016)
Changes vs previous filing	related persons no longer listed (Oct 24, 2016): Bradley Asness, David Kabiller, Clifford Asness, John Liew Compared with the D/A filed Dec 31, 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 context	Minimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 13. 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.
Source	This 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 31, 2015 D/A Pooled Investment Fund — $35,993,299 sold of Indefinite · 13 investors EDGAR ↗

Filing	Form D/A (amendment) filed Dec 31, 2015 · amends 0001413961-14-000008 ↗ SEC file no. 021-162254 · accession 0001551448-15-000005 · filing 5 of 8 in this offering
Raise progress	$35,993,299 sold of Indefinite offered · Indefinite remaining · first sale Jun 22, 2012
Filing timing	Date of first sale: Jun 22, 2012 · Original Form D filed: Jul 5, 2011 (353 days before first sale) · This amendment (Form D/A) filed: Dec 31, 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 sale	5,237 days (14.3 years)
Annual amendments	Issuer reported the offering may last more than one year. This filing is an amendment dated Dec 31, 2015. Most recent amendment for this offering in our index: Jan 31, 2019 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors	13 total · issuer reported no non-accredited investors
Exemption claimed	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
Minimum investment accepted	$5,000,000
Securities offered	Pooled investment fund interests
Entity details	Organized in DELAWARE · 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).
Industry	Pooled Investment Fund (Hedge Fund)
Who is paid to sell it	No sales compensation recipients listed on this filing.
Money to insiders	Sales 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 management fee in an amount equal to a specified percentage of assets under management.
Signed by	Bradley D. Asness, Chief Legal Officer (Dec 30, 2015)
Changes vs previous filing	total sold: $16,745,001 (Dec 29, 2014) → $35,993,299 (Dec 31, 2015) investors: 11 (Dec 29, 2014) → 13 (Dec 31, 2015) Compared with the D/A filed Dec 29, 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 context	Minimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 13. 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.
Source	This 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 29, 2014 D/A Pooled Investment Fund — $16,745,001 sold of Indefinite · 11 investors EDGAR ↗

Filing	Form D/A (amendment) filed Dec 29, 2014 · amends 0001524536-13-000001 ↗ SEC file no. 021-162254 · accession 0001413961-14-000008 · filing 4 of 8 in this offering
Raise progress	$16,745,001 sold of Indefinite offered · Indefinite remaining · first sale Jun 22, 2012
Filing timing	Date of first sale: Jun 22, 2012 · Original Form D filed: Jul 5, 2011 (353 days before first sale) · This amendment (Form D/A) filed: Dec 29, 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 sale	5,237 days (14.3 years)
Annual amendments	Issuer reported the offering may last more than one year. This filing is an amendment dated Dec 29, 2014. Most recent amendment for this offering in our index: Jan 31, 2019 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors	11 total · issuer reported no non-accredited investors
Exemption claimed	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
Minimum investment accepted	$5,000,000
Securities offered	Pooled investment fund interests
Entity details	Organized in DELAWARE · 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).
Industry	Pooled Investment Fund (Hedge Fund)
Who is paid to sell it	No sales compensation recipients listed on this filing.
Money to insiders	Sales 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 management fee in an amount equal to a specified percentage of assets under management.
Signed by	Bradley D. Asness, Chief Legal Officer (Dec 29, 2014)
Changes vs previous filing	total sold: $9,170,001 (Jun 28, 2013) → $16,745,001 (Dec 29, 2014) investors: 9 (Jun 28, 2013) → 11 (Dec 29, 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 28, 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 29, 2014) related persons added (Dec 29, 2014): Partners, LLC CNH, Partners II, LLC CNH Principal related persons no longer listed (Dec 29, 2014): Jeremy Getson, Ronen Israel, Lars Nielsen, John Howard, Brian Hurst, Jeffrey Dunn, Michael Mendelson, Gregor Andrade, Abdon Bolivar, Oktay Kurbanov, Jacques Friedman, Marco Hanig, Lasse Pedersen, Stephen Mellas, Yao Hua Ooi Compared with the D/A filed Jun 28, 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 context	Minimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 11. 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.
Source	This 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 28, 2013 D/A Pooled Investment Fund — $9,170,001 sold of Indefinite · 9 investors EDGAR ↗

Filing	Form D/A (amendment) filed Jun 28, 2013 · amends 0001524536-12-000001 ↗ SEC file no. 021-162254 · accession 0001524536-13-000001 · filing 3 of 8 in this offering
Raise progress	$9,170,001 sold of Indefinite offered · Indefinite remaining · first sale Jun 22, 2012
Filing timing	Date of first sale: Jun 22, 2012 · Original Form D filed: Jul 5, 2011 (353 days before first sale) · This amendment (Form D/A) filed: Jun 28, 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 sale	5,237 days (14.3 years)
Annual amendments	Issuer reported the offering may last more than one year. This filing is an amendment dated Jun 28, 2013. Most recent amendment for this offering in our index: Jan 31, 2019 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors	9 total · issuer reported no non-accredited investors
Exemption claimed	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
Minimum investment accepted	$5,000,000
Securities offered	Pooled investment fund interests
Entity details	Organized in DELAWARE · 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).
Industry	Pooled Investment Fund (Hedge Fund)
Who is paid to sell it	No sales compensation recipients listed on this filing.
Money to insiders	Sales 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 management fee in an amount equal to a specified percentage of assets under management.
Signed by	Bradley D. Asness, Chief Legal Officer (Jun 28, 2013)
Changes vs previous filing	total sold: $3,550,000 (Jul 2, 2012) → $9,170,001 (Jun 28, 2013) investors: 5 (Jul 2, 2012) → 9 (Jun 28, 2013) Compared with the D/A filed Jul 2, 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 context	Minimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 9. 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.
Source	This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET

Jul 2, 2012 D/A Pooled Investment Fund — $3,550,000 sold of Indefinite · 5 investors EDGAR ↗

Filing	Form D/A (amendment) filed Jul 2, 2012 · amends 0001524536-11-000001 ↗ SEC file no. 021-162254 · accession 0001524536-12-000001 · filing 2 of 8 in this offering
Raise progress	$3,550,000 sold of Indefinite offered · Indefinite remaining · first sale Jun 22, 2012
Filing timing	Date of first sale: Jun 22, 2012 · Original Form D filed: Jul 5, 2011 (353 days before first sale) · This amendment (Form D/A) filed: Jul 2, 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 sale	5,237 days (14.3 years)
Annual amendments	Issuer reported the offering may last more than one year. This filing is an amendment dated Jul 2, 2012. Most recent amendment for this offering in our index: Jan 31, 2019 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors	5 total · issuer reported no non-accredited investors
Exemption claimed	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
Minimum investment accepted	$5,000,000
Securities offered	Pooled investment fund interests
Entity details	Organized in DELAWARE · 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).
Industry	Pooled Investment Fund (Hedge Fund)
Who is paid to sell it	No sales compensation recipients listed on this filing.
Money to insiders	Sales 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 management fee in an amount equal to a specified percentage of assets under management.
Signed by	Bradley D. Asness, Chief Legal Officer (Jul 2, 2012)
Changes vs previous filing	total sold: $0 (Jul 5, 2011) → $3,550,000 (Jul 2, 2012) investors: 0 (Jul 5, 2011) → 5 (Jul 2, 2012) date of first sale: Yet to occur (Jul 5, 2011) → Jun 22, 2012 (Jul 2, 2012) related persons added (Jul 2, 2012): Yao Hua Ooi, Jeffrey Dunn, Marco Hanig related persons no longer listed (Jul 2, 2012): Robert Krail Compared with the D filed Jul 5, 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 context	Minimum investment: $5,000,000. Typical range for similar offerings: $1,000–$100,000. Offering size: Indefinite. Typical range: $155,000–$5,250,000. Investors: 5. 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.
Source	This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET

Jul 5, 2011 D Pooled Investment Fund — $0 sold of Indefinite · 0 investors EDGAR ↗

Filing	Form D filed Jul 5, 2011 SEC file no. 021-162254 · accession 0001524536-11-000001 · filing 1 of 8 in this offering
Raise progress	$0 sold of Indefinite offered · Indefinite remaining
Filing timing	Date of first sale: Yet to occur · Form D filed: Jul 5, 2011 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 amendments	Issuer reported the offering may last more than one year. Most recent amendment for this offering in our index: Jan 31, 2019 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn.
Investors	0 total · issuer reported no non-accredited investors
Exemption claimed	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
Minimum investment accepted	$5,000,000
Securities offered	Pooled investment fund interests
Entity details	Organized in DELAWARE · 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).
Industry	Pooled Investment Fund (Hedge Fund)
Who is paid to sell it	No sales compensation recipients listed on this filing.
Money to insiders	Sales 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 management fee in an amount equal to a specified percentage of assets under management.
Signed by	Bradley D. Asness, Chief Legal Officer (Jul 5, 2011)
Market context	Minimum 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.
Source	This 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 — 7 amendments on this page, each compared with the filing before it in the same offering

Amendment filed	File no.	Compared with	What changed (both values as filed)
Jan 31, 2019 EDGAR ↗	021-162254	Oct 25, 2017 D/A	total sold: $35,993,299 (Oct 25, 2017) → $51,800,000 (Jan 31, 2019) · securities offered: Pooled investment fund interests (Oct 25, 2017) → Equity; Pooled investment fund interests (Jan 31, 2019) · related persons added (Jan 31, 2019): CNH Finance GP, LLC, Ronen Israel, 18North Advisors LLC, Timothy Peters · and 1 more (open the filing above)
Oct 25, 2017 EDGAR ↗	021-162254	Oct 24, 2016 D/A	No change in the fields compared
Oct 24, 2016 EDGAR ↗	021-162254	Dec 31, 2015 D/A	related persons no longer listed (Oct 24, 2016): Bradley Asness, David Kabiller, Clifford Asness, John Liew
Dec 31, 2015 EDGAR ↗	021-162254	Dec 29, 2014 D/A	total sold: $16,745,001 (Dec 29, 2014) → $35,993,299 (Dec 31, 2015) · investors: 11 (Dec 29, 2014) → 13 (Dec 31, 2015)
Dec 29, 2014 EDGAR ↗	021-162254	Jun 28, 2013 D/A	total sold: $9,170,001 (Jun 28, 2013) → $16,745,001 (Dec 29, 2014) · investors: 9 (Jun 28, 2013) → 11 (Dec 29, 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 28, 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 29, 2014) · and 2 more (open the filing above)
Jun 28, 2013 EDGAR ↗	021-162254	Jul 2, 2012 D/A	total sold: $3,550,000 (Jul 2, 2012) → $9,170,001 (Jun 28, 2013) · investors: 5 (Jul 2, 2012) → 9 (Jun 28, 2013)
Jul 2, 2012 EDGAR ↗	021-162254	Jul 5, 2011 D	total sold: $0 (Jul 5, 2011) → $3,550,000 (Jul 2, 2012) · investors: 0 (Jul 5, 2011) → 5 (Jul 2, 2012) · date of first sale: Yet to occur (Jul 5, 2011) → Jun 22, 2012 (Jul 2, 2012) · and 2 more (open the filing above)

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 Jan 31, 2019. Industry as reported, by offering: One offering, reported as Pooled Investment Fund (Jul 5, 2011).

Key people (related persons as listed on Form D)

Name	Relationship	Address state	On filings (first → last)	Also listed on
18North Advisors LLC entity	Promoter Issuer's note: Investment Manager of the Issuer	CT	Jan 31, 2019 on 1 of 8 filings listed on the latest filing	1 other issuer
CNH Finance GP, LLC entity also filed as CNH Finance GP; LLC	Executive Officer Issuer's note: General Partner of the Issuer	CT	Jan 31, 2019 on 1 of 8 filings listed on the latest filing	1 other issuer
Mark Mitchell	Executive Officer Issuer's note: Mark Mitchell is an Executive Officer of CNH Principal Partners II, LLC, the General Partner of the Issuer.	CT	Jul 5, 2011 → Jan 31, 2019 on 8 of 8 filings listed on the latest filing	27 other issuers
Ronen Israel	Executive Officer Issuer's note: Ronen Israel is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Jan 31, 2019 on 4 of 8 filings listed on the latest filing	138 other issuers
Timothy Peters	Executive Officer Issuer's note: Manager of the General Partner of the Issuer and Managing Member of the Investment Manager of the Issuer	CT	Jan 31, 2019 on 1 of 8 filings listed on the latest filing	1 other issuer
Partners II, LLC CNH Principal also filed as Partners II; LLC CNH Principal	Promoter Issuer's note: CNH Principal Partners II, LLC, is the General Partner of the Issuer.	CT	Dec 29, 2014 → Oct 25, 2017 on 4 of 8 filings not listed on the latest filing (Jan 31, 2019)	—
Partners, LLC CNH also filed as Partners; LLC CNH	Executive Officer Issuer's note: CNH Partners, LLC, is the Investment Manager of the Issuer.	CT	Dec 29, 2014 → Oct 25, 2017 on 4 of 8 filings not listed on the latest filing (Jan 31, 2019)	15 other issuers
Todd Pulvino	Executive Officer Issuer's note: Todd Pulvino is an Executive Officer of CNH Principal Partners II, LLC, the General Partner of the Issuer.	CT	Jul 5, 2011 → Oct 25, 2017 on 7 of 8 filings not listed on the latest filing (Jan 31, 2019)	25 other issuers
Bradley Asness	Executive Officer Issuer's note: Bradley Asness is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Dec 31, 2015 on 5 of 8 filings not listed on the latest filing (Jan 31, 2019)	147 other issuers
Clifford Asness	Executive Officer Issuer's note: Clifford Asness is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Dec 31, 2015 on 5 of 8 filings not listed on the latest filing (Jan 31, 2019)	157 other issuers
David Kabiller	Executive Officer Issuer's note: David Kabiller is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Dec 31, 2015 on 5 of 8 filings not listed on the latest filing (Jan 31, 2019)	143 other issuers
John Liew	Executive Officer Issuer's note: John Liew is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Dec 31, 2015 on 5 of 8 filings not listed on the latest filing (Jan 31, 2019)	156 other issuers
Abdon Bolivar	Executive Officer Issuer's note: Abdon Bolivar is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Jun 28, 2013 on 3 of 8 filings not listed on the latest filing (Jan 31, 2019)	86 other issuers
Brian Hurst	Executive Officer Issuer's note: Brian Hurst is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Jun 28, 2013 on 3 of 8 filings not listed on the latest filing (Jan 31, 2019)	97 other issuers
Gregor Andrade	Executive Officer Issuer's note: Gregor Andrade is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Jun 28, 2013 on 3 of 8 filings not listed on the latest filing (Jan 31, 2019)	69 other issuers
Jacques Friedman	Executive Officer Issuer's note: Jacques Friedman is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Jun 28, 2013 on 3 of 8 filings not listed on the latest filing (Jan 31, 2019)	98 other issuers
Jeffrey Dunn	Executive Officer Issuer's note: Jeffrey Dunn is an Executive Officer of CNH Principal Partners II, LLC, the General Partner of the Issuer.	CT	Jul 2, 2012 → Jun 28, 2013 on 2 of 8 filings not listed on the latest filing (Jan 31, 2019)	58 other issuers
Jeremy Getson	Executive Officer Issuer's note: Jeremy Getson is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Jun 28, 2013 on 3 of 8 filings not listed on the latest filing (Jan 31, 2019)	58 other issuers
John Howard	Executive Officer Issuer's note: John Howard is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Jun 28, 2013 on 3 of 8 filings not listed on the latest filing (Jan 31, 2019)	90 other issuers
Lars Nielsen	Executive Officer Issuer's note: Lars Nielsen is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Jun 28, 2013 on 3 of 8 filings not listed on the latest filing (Jan 31, 2019)	83 other issuers
Lasse Pedersen	Executive Officer Issuer's note: Lasse Pedersen is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Jun 28, 2013 on 3 of 8 filings not listed on the latest filing (Jan 31, 2019)	70 other issuers
Marco Hanig	Executive Officer Issuer's note: Marco Hanig is an Executive Officer of CNH Principal Partners II, LLC, the General Partner of the Issuer.	CT	Jul 2, 2012 → Jun 28, 2013 on 2 of 8 filings not listed on the latest filing (Jan 31, 2019)	58 other issuers
Michael Mendelson	Executive Officer Issuer's note: Michael Mendelson is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Jun 28, 2013 on 3 of 8 filings not listed on the latest filing (Jan 31, 2019)	85 other issuers
Oktay Kurbanov	Executive Officer Issuer's note: Oktay Kurbanov is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Jun 28, 2013 on 3 of 8 filings not listed on the latest filing (Jan 31, 2019)	94 other issuers
Stephen Mellas	Executive Officer Issuer's note: Stephen Mellas is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 → Jun 28, 2013 on 3 of 8 filings not listed on the latest filing (Jan 31, 2019)	65 other issuers
Yao Hua Ooi	Executive Officer Issuer's note: Yao Hua Ooi is an Executive Officer of CNH Principal Partners II, LLC, the General Partner of the Issuer.	CT	Jul 2, 2012 → Jun 28, 2013 on 2 of 8 filings not listed on the latest filing (Jan 31, 2019)	141 other issuers
Robert Krail	Executive Officer Issuer's note: Robert Krail is an Executive Officer of CNH Partners, LLC, the Investment Manager of the Issuer.	CT	Jul 5, 2011 on 1 of 8 filings not listed on the latest filing (Jan 31, 2019)	33 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 275):

AQR Global Risk Premium Fund II, L.P. — Jeffrey Dunn · latest filing Oct 22, 2026
AQR Global Risk Premium Fund II, L.P. — Marco Hanig · latest filing Oct 22, 2026
AQR Global Risk Premium Fund II, L.P. — Robert Krail · latest filing Oct 22, 2026
AQR International Small Cap Equity Fund, L.P. — Jeffrey Dunn · latest filing Oct 22, 2026
AQR International Small Cap Equity Fund, L.P. — Marco Hanig · latest filing Oct 22, 2026
AQR International Small Cap Equity Fund, L.P. — Robert Krail · latest filing Oct 22, 2026
AQR International Small Cap Equity Fund, L.P. — Jeremy Getson · latest filing Oct 22, 2026
AQR TA Global Equity Market Neutral Fund, L.P. — Jeffrey Dunn · latest filing Oct 15, 2026
AQR TA Global Equity Market Neutral Fund, L.P. — Marco Hanig · latest filing Oct 15, 2026
AQR TA Global Equity Market Neutral Fund, L.P. — Jeremy Getson · latest filing Oct 15, 2026
AQR Global Defensive Equity Fund, L.P. — Jeffrey Dunn · latest filing Oct 8, 2026
AQR Global Defensive Equity Fund, L.P. — Marco Hanig · latest filing Oct 8, 2026
AQR Global Defensive Equity Fund, L.P. — Robert Krail · latest filing Oct 8, 2026
AQR Global Defensive Equity Fund, L.P. — Jeremy Getson · latest filing Oct 8, 2026
AQR Apex Total Return Fund, L.P. — Mark Mitchell · latest filing Sep 24, 2026
AQR Apex Total Return Fund, L.P. — Todd Pulvino · latest filing Sep 24, 2026
AQR Apex Total Return Fund, L.P. — Partners, LLC CNH · latest filing Sep 24, 2026
AQR Apex Total Return Fund, L.P. — Robert Krail · latest filing Sep 24, 2026
AQR Apex Total Return Offshore Fund, L.P. — Mark Mitchell · latest filing Sep 24, 2026
AQR Apex Total Return Offshore Fund, L.P. — Todd Pulvino · latest filing Sep 24, 2026
AQR DELTA Fund II, L.P. — Mark Mitchell · latest filing Aug 13, 2026
AQR DELTA Fund II, L.P. — Todd Pulvino · latest filing Aug 13, 2026
AQR DELTA Fund II, L.P. — Jeffrey Dunn · latest filing Aug 13, 2026
AQR DELTA Fund II, L.P. — Marco Hanig · latest filing Aug 13, 2026
AQR DELTA Fund II, L.P. — Partners, LLC CNH · latest filing Aug 13, 2026
AQR DELTA Fund II, L.P. — Robert Krail · latest filing Aug 13, 2026
AQR DELTA Fund II, L.P. — Jeremy Getson · latest filing Aug 13, 2026
AQR EMERGING EQUITIES FUND LP — Robert Krail · latest filing Aug 13, 2026
AQR Emerging Small Cap Equity Fund, L.P. — Jeffrey Dunn · latest filing Jul 23, 2026
AQR Emerging Small Cap Equity Fund, L.P. — Marco Hanig · latest filing Jul 23, 2026
AQR Emerging Small Cap Equity Fund, L.P. — Jeremy Getson · latest filing Jul 23, 2026
AQR Managed Futures Fund, L.P. — Jeffrey Dunn · latest filing Jul 23, 2026
AQR Managed Futures Fund, L.P. — Marco Hanig · latest filing Jul 23, 2026
AQR Managed Futures Fund, L.P. — Robert Krail · latest filing Jul 23, 2026
AQR Managed Futures Fund, L.P. — Jeremy Getson · latest filing Jul 23, 2026
AQR GRPT EL Offshore Fund Ltd. — Jeffrey Dunn · latest filing Apr 9, 2026
AQR GRPT EL Offshore Fund Ltd. — Marco Hanig · latest filing Apr 9, 2026
AQR GRPT EL Offshore Fund Ltd. — Jeremy Getson · latest filing Apr 9, 2026
AQR Style Premia Offshore Fund Ltd. — Jeffrey Dunn · latest filing Apr 9, 2026
AQR Style Premia Offshore Fund Ltd. — Marco Hanig · latest filing Apr 9, 2026

Clifford Asness is listed on 157 other issuers — see the full list on their page.
John Liew is listed on 156 other issuers — see the full list on their page.
Bradley Asness is listed on 147 other issuers — see the full list on their page.
David Kabiller is listed on 143 other issuers — see the full list on their page.
Yao Hua Ooi is listed on 141 other issuers — see the full list on their page.
Ronen Israel is listed on 138 other issuers — see the full list on their page.
Jacques Friedman is listed on 98 other issuers — see the full list on their page.
Brian Hurst is listed on 97 other issuers — see the full list on their page.
Oktay Kurbanov is listed on 94 other issuers — see the full list on their page.
John Howard is listed on 90 other issuers — see the full list on their page.
Abdon Bolivar is listed on 86 other issuers — see the full list on their page.
Michael Mendelson is listed on 85 other issuers — see the full list on their page.
Lars Nielsen is listed on 83 other issuers — see the full list on their page.
Lasse Pedersen is listed on 70 other issuers — see the full list on their page.
Gregor Andrade is listed on 69 other issuers — see the full list on their page.
Stephen Mellas is listed on 65 other issuers — see the full list on their page.

Shared address: this business address appears on filings for 3 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.

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) ↗.

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 CT yet).

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

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