Investment adviser · CRD 153825

VII PEAKS CAPITAL LLC

Investment adviser filing (IA)

SANTA MONICA, CA, United States · Form ADV filed Jun 22, 2021

Regulatory AUM: $27.6M
Client accounts: 3
Employees: 1
Advisory professionals: 1

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Business development companies	1	$27,599,465	100.0%
Pooled investment vehicles	2	$1	0.0%

Filing source

Form ADV 1548930 · Jun 22, 2021 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

11 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

VII PEAKS DIRECT LENDING FUNDOther Private Fund · Last reported Jun 22, 2021$0Gross asset value

Form D fundraising filings

VII Peaks Direct Lending Fund, a Series of VII Peaks Series Funds LLC

Fund administrator HC GLOBAL FUND SERVICES SAN FRANCISCO, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor WEAVER AND TIDWELL LLP FORTH WORTH, Texas, United States

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: No
Administrator other than the adviser: Yes
External marketing: No

WEAVER AND TIDWELL LLP
PCAOB 410

Fund details & source

Fund ID: 805-6425221818
Reported beneficial owners: 1
Minimum commitment: $100K
Form D file number: 021-305626

Form ADV 1548930 · Jun 22, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

VII PEAKS VENTURE CAPITAL V, LLCVenture Capital Fund · Last reported Jun 22, 2021$0Gross asset value

Form D fundraising filings

VII Peaks Venture Capital V, LLC

Auditor WEAVER AND TIDWELL LLP FORTH WORTH, Texas, United States

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: No
Administrator other than the adviser: No
External marketing: No

WEAVER AND TIDWELL LLP
PCAOB 410

Fund details & source

Fund ID: 805-8983099687
Reported beneficial owners: 8
Minimum commitment: $25K
Form D file number: 021-220030

Form ADV 1548930 · Jun 22, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

VII PEAKS VENTURE CAPITAL I, LLCVenture Capital Fund · Last reported Jun 30, 2014$4.87MGross asset value

Form D fundraising filings

VII Peaks Venture Capital I, LLC

Auditor ROTHSTEIN KASS SAN FRANCISCO, California, United States

Custodian MILLENNIUM TRUST COMPANY OAK BROOK, Illinois, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

Fund details & source

Fund ID: 805-8240843978
Reported beneficial owners: 99
Minimum commitment: $25K
Form D file number: 021-172022

Form ADV 832335 · Jun 30, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

VII PEAKS - KBR CO-OPTIVIST B FUND II LLCOther Private Fund · Last reported Aug 5, 2019$1.99MGross asset value

Form D fundraising filings

VII Peaks-KBR Co-Optivist B Fund II, LLC

Auditor WEAVER AND TIDWELL LLP FORTH WORTH, Texas, United States

Custodian MORGAN STANLEY SAN FRANCISCO, California, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

WEAVER AND TIDWELL LLP
PCAOB 410

Fund details & source

Fund ID: 805-8203528546
Reported beneficial owners: 87
Minimum commitment: $20K
Form D file number: 021-172212

Form ADV 1338277 · Aug 5, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

VII PEAKS - KBR CO-OPTIVIST B FUND I LLCOther Private Fund · Last reported Aug 5, 2019$1.13MGross asset value

Form D fundraising filings

VII Peaks-KBR Co-Optivist B Fund I, LLC

Auditor WEAVER & TIDWELL LLP FORT WORTH, Texas, United States

Custodian MORGAN STANLEY SAN FRANCISCO, California, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

WEAVER & TIDWELL LLP
PCAOB 410

Fund details & source

Fund ID: 805-1771497639
Reported beneficial owners: 98
Minimum commitment: $20K
Form D file number: 021-159141

Form ADV 1338277 · Aug 5, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

VII PEAKS VENTURE CAPITAL II LLCVenture Capital Fund · Last reported Aug 5, 2019$354KGross asset value

Auditor WEAVER AND TIDWELL LLP FORTH WORTH, Texas, United States

Custodian MILLENNIUM TRUST COMPANY OAK BROOK, Illinois, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

WEAVER AND TIDWELL LLP
PCAOB 410

Fund details & source

Fund ID: 805-2814875902
Reported beneficial owners: 43
Minimum commitment: $25K

Form ADV 1338277 · Aug 5, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

VII PEAKS VENTURE CAPITAL VI, LLCVenture Capital Fund · Last reported Aug 5, 2019$193KGross asset value

Auditor WEAVER AND TIDWELL LLP FORTH WORTH, Texas, United States

Custodian MILLENNIUM TRUST COMPANY OAK BROOK, Illinois, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

WEAVER AND TIDWELL LLP
PCAOB 410

Fund details & source

Fund ID: 805-3042290325
Reported beneficial owners: 5
Minimum commitment: $25K

Form ADV 1338277 · Aug 5, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jun 22, 2021. View historical filings

Reported services

Investment company portfolio management · Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

1431 OCEAN AVENUE, 1602
SANTA MONICA, CA, 90401, United States

CRD 153825

Filing source

Form ADV 1548930 · Jun 22, 2021 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.