Form D · Other Investment Fund

Empire Tax Fund V LLC

Purchase, NY · CIK 0001545826

Offering snapshot reported Mar 28, 2012 · SEC filing

Reported sold: $5.45M
Investors reported: 7
Minimum accepted: $100K
First sale: Jan 23, 2012

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 28, 2012	Initial	$5,450,000	No comparison	7	SEC filing

Offering details

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

Sales commissions: $0 (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-175762

Registered finder will receive a portion of the carried interest for referred investors. Placement agents, if any, will receive a marketing fee or commission for introduction of investors or sale of membership interests.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
NewOak Capital Markets LLC	104063

Source: Form D, filed Mar 28, 2012. 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

EMPIRE TAX FUND V LLC

Investment adviser: TAX LIEN MANAGER LLC

Gross asset value: $3.22M
Beneficial owners: 13
ADV minimum commitment: $100K

Reported in Form ADV on Mar 22, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Custodian U.S. BANK GLOBAL CORPORATE TRUST SERVICES PHILDADELPHIA, Pennsylvania, United States Related to adviser: No

Marketer NEWOAK CAPITAL MARKETS LLC NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: Yes

NEWOAK CAPITAL MARKETS LLC
CRD 104063

Filing source

Form ADV 1191522 · Mar 22, 2018 · Schedule D 7.B.(1), fund 805-5197804318

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
Empire Tax Fund I LLC	Mar 12, 2010	$15,000,000	20
Empire Tax Fund II LLC	Jan 26, 2011	$7,200,000	8
Empire Tax Fund III LLC	Oct 14, 2011	$2,600,000	4
Empire Tax Fund IV LLC	Oct 18, 2011	$11,250,000	14
Empire Tax Fund V LLC (this fund)	Mar 28, 2012	$5,450,000	7
Empire Tax Fund VI LLC	Jan 23, 2014	$7,650,000	13
Empire Tax Fund VII LLC	Jan 23, 2015	$16,400,000	17
Empire Tax Fund VIII LLC	Jan 31, 2017	$11,650,000	10

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
Lowen K. Hankin	Director, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

8 Harrows Lane
Purchase, NY, 10577