Form D · Private Equity Fund

Caltius Partners V (SBIC), LP

Los Angeles, CA · CIK 0001671464

Offering snapshot reported Apr 7, 2016 · SEC filing

Reported sold
Yet to sell
Offering amount: $75M
Investors reported
0
Form D · investor count
Minimum accepted
$0
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

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 7, 2016InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$0 (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-260857
The GP of the Issuer reserves the right to offer a greater or lesser amount of interests as may be set forth in the Issuer's offering materials.

Sales compensation recipients

Scroll to see all columns →

RecipientCRDAssociated broker-dealer
FBR Capital Markets & Co.25027

Source: Form D, filed Apr 7, 2016. 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

CALTIUS PARTNERS V (SBIC), LP

Investment adviser: CALTIUS CAPITAL MANAGEMENT, LP

Gross asset value
$246M
Beneficial owners
33
ADV minimum commitment
$2.5M

Reported in Form ADV on Mar 27, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor KPMG LLP LOS ANGELES, California, United States
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Custodian U.S. BANK NATIONAL ASSOCIATION LOS ANGELES, California, United States Related to adviser: No
Marketer B. RILEY SECURITIES, INC. LOS ANGELES, 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
Yes

KPMG LLP
PCAOB 185

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

U.S. BANK NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M02

B. RILEY SECURITIES, INC.
CRD 25027 · SEC 8-41426

Filing source

Form ADV 2066584 · Mar 27, 2026 · Schedule D 7.B.(1), fund 805-8327004189

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
Alisa G. Frederick Executive
Gregory J. Howorth Executive
Michael A. Kane Executive
James B. Upchurch Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
11766 Wilshire Boulevard, Suite 850
Los Angeles, CA, 90025