Form D · Venture Capital Fund

Keystone Private Equity Opportunities II (Q), L.P.

San Ramon, CA · CIK 0001488275

Offering snapshot reported Apr 15, 2010 · SEC filing

Reported sold
$73.5M
Offering amount: $150M
Investors reported
58
Form D · investor count
Minimum accepted
$100K
Reported outside-investor minimum
First sale
Apr 1, 2010
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
Apr 15, 2010Initial$73,500,000No comparison58SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$400K (estimated)
Finders' fees
$0
Form D file number
021-140625
Offering and Sales Amounts have been agggregted for the Issuer and Keystone Private Equity Opportunities II, L.P., a parallel vehicle of the issuer.
Sales Commissions include amounts paid in connection with the offering of interests in Keystone Private Equity Opportunities II, L.P., a parallel vehicle of the issuer.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Brent Cochran2361173Cambridge Investment Research · CRD 39543
David A. Russon2361173Cambridge Investment Research · CRD 39543
David Rhett Jepson2992473Cambridge Investment Research · CRD 39543
Allen Neuenschwander1507901SMH Capital Inc. · CRD 20580
Andrew H. Walker4823479SMH Capital · CRD 20580
Tom Genco2957076SMH Capital Inc. · CRD 20580
Daniel L. Bonder2518757SMH Capital Inc. · CRD 20580
Gregory G. Randall2143449SMH Capital · CRD 20580
Shree N. Sharma1068361Cambridge Investment Research · CRD 35943
John E. Fleckenstein1790867Sunbelt Securities Inc. · CRD 42180
Mark S. Henderson242788National Planning Corporation · CRD 29604
Raymond J. Miller856248Sunbelt Securities Inc. · CRD 42180
Dwane Mark Tidwell2612587Sunbelt Securities Inc. · CRD 42180
Charles Auerbach1193682National Planning Corporation · CRD 29604
Daniel Whittenburg2181920Lincold Financial Sdvisors Corporation · CRD 3978
Brett E. Jensen4048577Lincoln Financial Advisors Corporation · CRD 3978
Brandon M. Nelson3125377Lincoln Financial Advisors Corporation · CRD 3978
Richard Watson2173329Cambridge Investment Research · CRD 39543
Rick Isaac2547424Cambridge Investment Research · CRD 39543
Lei Wang2626500Lincoln Financial Advisors Corporation · CRD 3978
Harry P. Consaul III2509700Cambridge Investment Research · CRD 39543
Michael S. Franklin4747047National Planning Corporation · CRD 29604
Jason B. Hill4836904Cambridge Investment Research · CRD 39543
Michael D. Kaufman2362468Cambridge Investment Research · CRD 39543
Monte C. Ferguson2627255Cambridge Investment Research · CRD 39543
John Richard Coe867571Cambridge Investment Research · CRD 39543
Jimmy Dale Mullins2325029Cambridge Investment Research · CRD 39543
Joseph Sterling1101378Geneos Wealth Management · CRD 120894

Source: Form D, filed Apr 15, 2010. 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

KEYSTONE PRIVATE EQUITY OPPORTUNITIES II (Q), LP

Investment adviser: KEYSTONE NATIONAL GROUP, LLC

Gross asset value
$2.01M
Beneficial owners
57
ADV minimum commitment
$250K

Reported in Form ADV on Sep 16, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator VMS FUND ADMINISTRATION PRINCETON, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG, LLP SAN FRANCISCO, California, United States
Custodian WELLS FARGO BANK SAN FRANCISCO, California, United States Related to adviser: No
Marketer CAMBRIDGE INVESTMENT RESEARCH, INC. FAIRFIELD, Iowa, United States Related to adviser: No
Marketer GENEOS WEALTH MANAGEMENT, INC. CENTENNIAL, Colorado, United States Related to adviser: No
Marketer LINCOLN FINANCIAL ADVISORS CORPORATION FORT WAYNE, Indiana, United States Related to adviser: No
Marketer LINCOLN INVESTMENT FORT WASHINGTON, Pennsylvania, United States Related to adviser: No
Marketer LPL FINANCIAL LLC BOSTON, Massachusetts, United States Related to adviser: No
Marketer MUTUAL SECURITIES, INC. CAMARILLO, California, United States Related to adviser: No
Marketer SUNBELT SECURITIES HOUSTON, Texas, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

KPMG, LLP
PCAOB 185

CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD 39543 · SEC 8-48740

GENEOS WEALTH MANAGEMENT, INC.
CRD 120894 · SEC 801-62331

LINCOLN FINANCIAL ADVISORS CORPORATION
CRD 3978 · SEC 801-42530

LINCOLN INVESTMENT
CRD 519 · SEC 801-14059

LPL FINANCIAL LLC
CRD 6413 · SEC 801-10970

MUTUAL SECURITIES, INC.
CRD 13092 · SEC 8-28580

SUNBELT SECURITIES
CRD 42180 · SEC 801-71479

Filing source

Form ADV 1345759 · Sep 16, 2019 · Schedule D 7.B.(1), fund 805-6297188010

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
John Earl Director
N/A Keystone Opportunities Ii, Llc Executive, Promoter
Brandon Nielson Director
Barry Smith Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
5000 Executive Parkway, Suite 445
San Ramon, CA, 94583