Form D · Private Equity Fund

DFW CAPITAL PARTNERS IV, L.P.

Teaneck, NJ · CIK 0001563186

Offering snapshot reported Dec 31, 2013 · SEC filing

Reported sold: $152M
Investors reported: 88
Minimum accepted: $0
First sale: Nov 15, 2012

Fundraising history

Reported sold

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$90,675,000 → $152,130,000
Reported investors58 → 88

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Dec 31, 2013	Amendment	$152,130,000	$61,455,000vs Aug 26, 2013	88	SEC filing
Aug 26, 2013	Amendment	$90,675,000	$48,050,000vs Nov 29, 2012	58	SEC filing
Nov 29, 2012	Initial	$42,625,000	No comparison	45	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $2.56M
Finders' fees: $0
Form D file number: 021-187648

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
GRIFFIN FINANCIAL GROUP, LLC	119004

Source: Form D, filed Dec 31, 2013. 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

DFW CAPITAL PARTNERS IV, LP

Investment adviser: DFW CAPITAL MANAGEMENT, LLC

Gross asset value: $227M
Beneficial owners: 92
ADV minimum commitment: $500K

Reported in Form ADV on Mar 24, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator PEF SERVICES, LLC WEST ORANGE, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor RSM US LLP NEW YORK, New York, United States

Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No

Marketer GRIFFIN FINANCIAL GROUP, LLC READING, Pennsylvania, 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

RSM US LLP
PCAOB 49

GRIFFIN FINANCIAL GROUP, LLC
CRD 119004 · SEC 8-53711

Filing source

Form ADV 1508881 · Mar 24, 2021 · Schedule D 7.B.(1), fund 805-3611832427

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

Related funds

Funds whose names form a numbered series with this one and that share its city or the name of a related person. Form D does not state how these funds are related.

Fund	Latest Form D	Reported sold	Investors
DFW CAPITAL PARTNERS IV, L.P. (this fund)	Dec 31, 2013	$152,130,000	88
DFW Capital Partners V, L.P.	Apr 13, 2016	$360,000,000	81
DFW Capital Partners VI, L.P.	Apr 15, 2019	$500,000,000	89
DFW Capital Partners VII, L.P.	Jan 23, 2023	$800,000,000	150
DFW Capital Partners VIII, L.P.	Dec 16, 2025	Yet to sell	0

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
Name	Reported role
Donald Demuth	Executive
Keith Pennell	Executive
Brett Prager	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

300 Frank W. Burr Blvd. Glenpointe Centre East, 5 Th Floor
Teaneck, NJ, 07666