Form D · Other Investment Fund

Brookline Ziopharm Investment Fund, LLC

Birmingham, AL · CIK 0001471760

Offering snapshot reported Sep 9, 2009 · SEC filing

Reported sold
Yet to sell
Offering amount: $5M
Investors reported
0
Form D · investor count
Minimum accepted
$25K
Reported outside-investor minimum
First sale
Yet to occur
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
Sep 9, 2009InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Not reported
Exemptions
06, 3C, 3C.1, 3C.7
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-134261

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Brookline ZIFMM, LLCNone

Source: Form D, filed Sep 9, 2009. 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

BROOKLINE ZIOPHARM INVESTMENT FUND, LLC

Investment adviser: BROOKLINE INVESTMENTS, INC.

Gross asset value
$0
Beneficial owners
34
ADV minimum commitment
$25K

Reported in Form ADV on Jan 11, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor SELLERS RICHARDSON HOLMAN & WEST LLP BIRMINGHAM, Alabama, United States
Custodian SERVISFIRST BANK BIRMINGHAM, Alabama, United States Related to adviser: No
Custodian STERNE, AGEE & LEACH, INC. BIRMINGHAM, Alabama, United States Related to adviser: No
Prime broker STERNE, AGEE & LEACH, INC. BIRMINGHAM, Alabama, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

STERNE, AGEE & LEACH, INC.
SEC 8-11754

STERNE, AGEE & LEACH, INC.
CRD 791 · SEC 8-11754

Filing source

Form ADV 690283 · Jan 11, 2013 · Schedule D 7.B.(1), fund 805-8678196420

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
Madding King, Iii Executive
J. Rainer Twiford Executive
Brookline Zifmm, Llc Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
2501 20 Th Place South Suite 275
Birmingham, AL, 35223