Form D · Venture Capital Fund

Innovation X Holdings QP, LLC - Series 2019-1

New York, NY · CIK 0001767431

Offering snapshot reported Apr 2, 2019 · SEC filing

Reported sold: $42.2M
Investors reported: 400
Minimum accepted: $0
First sale: Feb 28, 2019

What changed?

Latest filing versus its linked predecessor, where available.

Reported investors0 → 400

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Apr 2, 2019	Amendment	$42,152,500	No comparison	400	SEC filing
Feb 26, 2019	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

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

Sales commissions: $5M (estimated)
Finders' fees: $0
Form D file number: 021-333617

Assumes maximum commissions earned.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
National Securities Corporation	7569

Source: Form D, filed Apr 2, 2019. 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 SERIES 2019-1

Investment adviser: B. RILEY WEALTH PRIVATE SHARES, LLC

Gross asset value: $46.8M
Beneficial owners: 425
ADV minimum commitment: $25K

Reported in Form ADV on Nov 2, 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 SIGNATURE BANK NEW YORK, New York, 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

SIGNATURE BANK
LEI 13-4149421

NATIONAL SECURITIES CORPORATION
CRD 7569 · SEC 8-164

Filing source

Form ADV 1575009 · Nov 2, 2021 · Schedule D 7.B.(1), fund 805-2593013248

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
Innovation X Holdings QP, LLC - Series 2019-1 (this fund)	Apr 2, 2019	$42,152,500	400
Innovation X Holdings QP, LLC - Series 2019-2	Mar 25, 2019	Yet to sell	0
Innovation X Holdings QP, LLC - Series 2019-3	Apr 15, 2019	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
Innovation X Management, 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