Form D · Private Equity Fund

Innovation X Holdings II, LLC - Series 2018-5

New York, NY · CIK 0001758240

Offering snapshot reported Nov 29, 2018 · SEC filing

Reported sold
Yet to sell
Offering amount: $25M
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

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 29, 2018InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$2.5M (estimated)
Finders' fees
$0 (estimated)
Form D file number
021-326879
Assumes maximum commissions earned.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
National Securities Corporation7569

Source: Form D, filed Nov 29, 2018. 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

INNOVATION X HOLDINGS II LLC SERIES 2018-5

Investment adviser: B. RILEY WEALTH ADVISORS, INC.

Gross asset value
$8.62M
Beneficial owners
86
ADV minimum commitment
$25K

Reported in Form ADV on Oct 27, 2021. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator VENTURE BACK OFFICE, INC. CARY, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor MARCUM LLP NEW YORK, New York, United States
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED SAN FRANCISCO, California, United States Related to adviser: No
Marketer NATIONAL SECURITIES CORPORATION NEW YORK, New York, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

MARCUM LLP
PCAOB 688

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

NATIONAL SECURITIES CORPORATION
CRD 7569 · SEC 8-164

Filing source

Form ADV 1573940 · Oct 27, 2021 · Schedule D 7.B.(1), fund 805-8674460828

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
Innovation X Management Ii Llc Executive
Tom Kowalczyk Executive
Roger Monteforte Executive
Michael Mullen Executive
National Asset Management, Inc. Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
200 Vesey Street, 25 Th Floor
New York, NY, 10281