Form D · Private Equity Fund

CARLI, LP

Houston, TX · CIK 0001601594

Offering snapshot reported Mar 10, 2014 · SEC filing

Reported sold
$850K
Indefinite offering
Investors reported
1
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Mar 3, 2014
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
Mar 10, 2014Initial$850,000No comparison1SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.1, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$50K (estimated)
Finders' fees
$0
Form D file number
021-213225
Commissions yet to be earned and amount will depend on amounts sold by each broker and related management fees.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
RiverRock Securities, LLC153178RiverRock Securities, LLC · CRD 153178
Timothy Haluszczak4537962RiverRock Securities, LLC · CRD 153178
Patrick Capital Markets, LLC16518Patrick Capital Markets, LLC · CRD 16518

Source: Form D, filed Mar 10, 2014. 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
General Partner Carli Management, Llc Executive, Promoter
James T Hickey Director, Executive, Promoter
Jay Jackson Director, Promoter
Sole Owner Of Gp River Rock Trust, Llc Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
3200 Southwest Freeway Suite 3120
Houston, TX, 77027