Form D · Residential

BLUEROCK SPECIAL OPPORTUNITY INCOME FUND LLC

New York, NY · CIK 0001434424

Offering snapshot reported Jul 13, 2010 · SEC filing

Reported sold
$26.5M
Offering amount: $50M
Investors reported
508
Form D · investor count
Minimum accepted
$4.5K
Reported outside-investor minimum
First sale
Apr 14, 2008
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$13.4M$26.9MMay 5, 2008Sep 28, 2009: $22,983,117.00Oct 8, 2009: $23,451,236.00Oct 26, 2009: $24,815,176.00Oct 29, 2009: $25,602,616.00Nov 5, 2009: $26,370,616.00Nov 6, 2009: $26,887,366.00Jul 13, 2010: $26,533,551.00Jul 13, 2010

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$26,887,366 → $26,533,551
  • Reported investors449 → 508
  • Minimum accepted$50,000 → $4,500

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jul 13, 2010Amendment$26,533,551-$353,815vs Nov 6, 2009508SEC filing
Nov 6, 2009Amendment$26,887,366No comparison449SEC filing
Nov 5, 2009Amendment$26,370,616No comparison438SEC filing
Oct 29, 2009Amendment$25,602,616No comparison428SEC filing
Oct 26, 2009Amendment$24,815,176No comparison439SEC filing
Oct 8, 2009Amendment$23,451,236No comparison413SEC filing
Sep 28, 2009Amendment$22,983,117No comparison401SEC filing
May 5, 2008PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$1.88M
Finders' fees
$0
Form D file number
021-117966

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Ashlee Turner5467536Private Asset Group · CRD 142541
Brad McCord5435128Private Asset Group · CRD 142541
Brent Evans3185751Omni Brokerage · CRD 16878
Brett Little4717405Independent Financial Group · CRD 7717
Brian Levy4929320Regent Capital Group · CRD 126881
Brian Folland2600878National Securities · CRD 7569
Brian Tanner5038888Omni Brokerage · CRD 16878
Bruce Drooks2440188Centaurus Financial · CRD 30833
Bruce Soltani4650376Girard Securities · CRD 18697
Bryan Stanfill1387655Triad Advisors · CRD 25803
Cannen Ferrell4371859Private Asset Group · CRD 142541
Charles Dawson717848Berthel Fisher & Co · CRD 13609
Chris Miller4044818Private Asset Group · CRD 142541
Chris Vizzi5095868Independent Financial Group · CRD 7717
Cindy Chiu4663184Centaurus Financial · CRD 30833
Curtis Whipple1657643Investacorp · CRD 7684
Paul Durso4416551Investacorp · CRD 7684
Curtis Sathre III2459115WFP Securities · CRD 35098
Daniel Barnard2403593Berthel Fisher & Co · CRD 13609
Daniel McPherson4964802Sammons Securities · CRD 115368
Darrell Karnopp5224015CapWest · CRD 30002
David Harris2658691Sammons Securities · CRD 115368
David Joiner4520591Berthel Fisher & Co · CRD 13609
David Breedlove29577Cambridge Legacy Securities · CRD 103722
Debra Schleining2768752J P Turner · CRD 43177
Dennis Talty1594204United Equity Securities · CRD 13709
Dilip Shah4565670Cambridge Legacy Securities · CRD 103722
Dino Gambino5102207J P Turner · CRD 43177
Douglas HendricksonNoneTriad Advisors · CRD 25803
Douglas James2648868American Portfolio Financial · CRD 18487
Drew Kenworthy5390478Private Asset Group · CRD 142541
Dwight Kay5376903Independent Financial Group · CRD 7717
Eric Wegner2044977QA3 Financial · CRD 14754
Ferdinand Dosono2110497National Securities · CRD 7569
Fred Chasalow3125986Cambridge Legacy · CRD 103722
G. Russell Conrad2746778J P Turner · CRD 43177
Gary Ackerman4668422CapWest Securities · CRD 30002
George Bellish2646202American Portfolios Financial · CRD 18487
Gordon Yee2339698National Securities · CRD 7569
Greg Collins2299365American Portfolios Financial · CRD 18487
Gretchen Schorr704073Independent Financial Group · CRD 7717
Henry Godbee IV4536422Cambridge Legacy · CRD 103722
Henry Godbee III2284452Cambridge Legacy · CRD 103722
Howard Pearlman1013748Advisory Group Equity · CRD 15427
J C Durnin2717955Berthel Fisher & Co · CRD 13609
J R Broadbent3132498Omni Brokerage · CRD 16878
James Lamont2846228Independent Financial Group · CRD 7717
Jalon O'Connell3005016National Securities · CRD 7569
James Walsh4545303Private Asset Group · CRD 142541
James Walesa1061209Triad Advisors · CRD 25803
Jeff Benson1966840Omni Brokerage · CRD 16878
Jeff Pridey2136022CapWest · CRD 30002
Jeffrey Brown1789323Triad Advisors · CRD 25803
Jeffrey Cederberg4557771Primex · CRD 29394
Jeremy Gove5490359J P Turner · CRD 43177
Jim Warren4253846WFP Securities · CRD 35098
Joe Benguerel4665760Direct Capital · CRD 29639
Joel Fihn5093217Private Asset Group · CRD 142541
John Ferguson4947624Independent Financial Group · CRD 7717
John Gessford5097046CapWest Securities · CRD 30002
John Hannan1372033Private Asset Group · CRD 142541
Joseph Insalaco2978175Omni Brokerage · CRD 16878
Joshua Ungerecht5183573Independent Financial Group · CRD 7717
Katherine Bishop5608537Steven Falk · CRD 14297
Kathy Heshelow4909103CapWest Securities · CRD 30002
Kelly Clyde4825839Independent Financial Group · CRD 7717
Kevin Andrews4681693American Independent Securities · CRD 135288
Kevin Blair5140079CapWest Securities · CRD 30002
Kyle Jobin4915438Sigma Financial · CRD 14303
Larry Sfinas419396American Portfolios Financial · CRD 18487
Lee Bevill1790971Berthel Fisher & Co · CRD 13609
Les Anderton873403Wilson-Davis · CRD 3777
Leslie Pappas1735372Regent Capital Group · CRD 126881
Matthew Deline4910379WFP Securities · CRD 35098
Michael Blackmore2879954Sammons Securities · CRD 115368
Jim Mohan2449709Sammons Securities · CRD 115368
Jim Weishaar2537959Sammons Securities · CRD 115368
Michael DiGaetano2378300J P Turner · CRD 43177
Michael Logsdon5084901Cambridge Legacy · CRD 103722
Michael Lopez1495581Regent Capital · CRD 126881
Nathan Truax3203882Midpoint Financial · CRD 131784
Noel Vincent1370987Investors Capital · CRD 30613
Page Potter3078634Sigma Financial · CRD 14303
Peter McNeil4378567Independent Financial Group · CRD 7717
Philip Oleson3139451Independent Financial Group · CRD 7717
Randy Olson1399679Okoboji · CRD 33727
Ray Kim4446196Private Asset Group · CRD 142541
Rich Wagner3132498Omni Brokerage · CRD 16878
Richard Babjak2074968World Equity Group · CRD 29087
Richard Bieniek2074968World Equity Group · CRD 29087
Robert Horning2311640Direct Capital · CRD 29639
Robert Tweed2339324CapWest Securities · CRD 30002
Robert Fenton3119214Centaurus Financial · CRD 30833
Robert Setser1005169Direct Capital · CRD 29639
Robert Vonderharr1556834Omni Brokerage · CRD 16878
Robert Zamecki475757Lighthouse Capital · CRD 41812
Robyn Lee2846656Independent Financial Group · CRD 7717
Roger Bowlin1905652Independent Financial Group · CRD 7717
Roger Sidener867487Synergy Investment · CRD 46035
Ron Loyless2307327Private Asset Group · CRD 142541
Not reported

Source: Form D, filed Jul 13, 2010. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

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
Patricia S Anderson Executive
James G Babb Iii Executive
X Bluerock Real Estate, Llc Promoter
R. Ramin Kamfar Executive, Promoter
Michael L Konig Executive
Jerold E Novacek Executive
Jordan B Ruddy Executive

Issuer details

Industry: Residential (See others in industry)

Address:
399 Park Avenue 32nd Floor
New York, NY, 10022