Form D · Private Equity Fund

Innovation X Holdings QP, LLC

New York, NY · CIK 0001663198

Offering snapshot reported Jan 30, 2017 · SEC filing

Reported sold: $58.3M
Investors reported: 316
Minimum accepted: $0
First sale: Feb 1, 2016

What changed?

Latest filing versus its linked predecessor, where available.

Reported investors0 → 316

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 30, 2017	Amendment	$58,329,374	No comparison	316	SEC filing
Jan 28, 2016	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Equity, Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $5.83M (estimated)
Finders' fees: $0 (estimated)
Form D file number: 021-256231

Total Offering Amount, in the aggregate, by Issuer and Innovation X Holdings, LLC. Total Amount Sold does not include Innovation X Holdings, LLC.

10% of sale proceeds from each Unit sold in offering.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
National Securities Corp.	7569

Source: Form D, filed Jan 30, 2017. 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 QP, LLC (LYFT SERIES II)

Investment adviser: B. RILEY WEALTH ADVISORS, INC.

Gross asset value: $0
Beneficial owners: 113
ADV minimum commitment: $25K

Reported in Form ADV on Oct 5, 2020. 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 1453839 · Oct 5, 2020 · Schedule D 7.B.(1), fund 805-3635568056

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
Name	Reported role
Mark Goldwasser	Director, Executive, Promoter
David Levine	Executive
Roger Monteforte	Director, Executive, Promoter
Michael Mullen	Executive
Glenn Worman	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

410 Park Avenue 14th Floor
New York, NY, 10022