Form D · Other Investment Fund

9YARDS OPPORTUNIES LLC - SERIES 5

San Francisco, CA · CIK 0001827123

Offering snapshot reported Jan 4, 2021 · SEC filing

Reported sold
$10.8M
Offering amount: $11.4M
Investors reported
23
Form D · investor count
Minimum accepted
$10K
Reported outside-investor minimum
First sale
Dec 18, 2020
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 4, 2021Initial$10,780,000No comparison23SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-385071

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Stonehaven LLC118913
Rainmaker Securities132995

Source: Form D, filed Jan 4, 2021. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

9YARDS OPPORTUNITIES LP - SERIES 5

Investment adviser: 9YARDS CAPITAL MANAGEMENT LP

Gross asset value
$10.3M
Beneficial owners
28
ADV minimum commitment
$0

Reported in Form ADV on Dec 21, 2023. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator HC GLOBAL FUND SERVICES, LLC SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP LOS ANGELES, California, United States
Custodian JPMORGAN CHASE BANK, N.A. NEWARK, Delaware, United States Related to adviser: No
Marketer RAINMAKER SECURITIES, LLC MIAMI, Florida, United States Related to adviser: No
Marketer STONEHAVEN, LLC NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

DELOITTE & TOUCHE LLP
PCAOB 34

JPMORGAN CHASE BANK, N.A.
LEI 7H6GLXDRUGQFU57RNE97

RAINMAKER SECURITIES, LLC
CRD 132995 · SEC 8-66667

STONEHAVEN, LLC
CRD 118913 · SEC 8-53699

Filing source

Form ADV 1807371 · Dec 21, 2023 · Schedule D 7.B.(1), fund 805-3383017369

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

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
N/A 9 Yards Capital Ii Llc Executive
David Fisher Executive
Theo Osborne Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Pacific Avenue Floor 4
San Francisco, CA, 94133