Form D · Private Equity Fund

EAST ROCK EAI FUND, LLC -- SERIES A

New York, NY · CIK 0001828464

Offering snapshot reported Jan 4, 2021 · SEC filing

Reported sold
$9.51M
Offering amount: $25M
Investors reported
4
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Oct 1, 2020
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$4.76M$9.51MOct 15, 2020: $9,500,000.00Oct 15, 2020Jan 4, 2021: $9,510,000.00Jan 4, 2021

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$9,500,000 → $9,510,000
  • Reported investors3 → 4

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 4, 2021Amendment$9,510,000$10,000vs Oct 15, 20204SEC filing
Oct 15, 2020Initial$9,500,000No comparison3SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
No
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-378050

Source: Form D, filed Jan 4, 2021. 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

EAST ROCK EAI FUND, LLC - SERIES A

Investment adviser: EAST ROCK CAPITAL, LLC

Gross asset value
$41.5M
Beneficial owners
25
ADV minimum commitment
$50K

Reported in Form ADV on Jul 9, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator CITCO FUND SERVICES (USA) INC. JERSEY CITY, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor CBIZ CPAS P.C. MELVILLE, New York, United States
Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No
Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No
Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

CBIZ CPAS P.C.
PCAOB 199

GOLDMAN SACHS & CO. LLC
SEC 8-129

THE BANK OF NEW YORK MELLON
LEI HPFHU0OQ28E4N0NFVK49

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

Filing source

Form ADV 2117934 · Jul 9, 2026 · Schedule D 7.B.(1), fund 805-5209820980

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
Graham Duncan Executive, Promoter
Adam Shapiro Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
65 East 55 Th Street 33 Rd Floor
New York, NY, 10022