Form D · Other Investment Fund

KEYSTONE PRIVATE MARKET OPPORTUNITIES IV, L.P.

San Ramon, CA · CIK 0001525483

Offering snapshot reported Nov 22, 2011 · SEC filing

Reported sold
$30.5M
Offering amount: $75M
Investors reported
88
Form D · investor count
Minimum accepted
$250K
Reported outside-investor minimum
First sale
Apr 1, 2011
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$15.2M$30.5MJul 13, 2011: $6,300,000.00Jul 13, 2011Sep 21, 2011: $16,525,000.00Sep 21, 2011Oct 18, 2011: $26,975,000.00Oct 18, 2011Nov 22, 2011: $30,475,000.00Nov 22, 2011

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$26,975,000 → $30,475,000
  • Reported investors76 → 88

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 22, 2011Amendment$30,475,000$3,500,000vs Oct 18, 201188SEC filing
Oct 18, 2011Amendment$26,975,000$10,450,000vs Sep 21, 201176SEC filing
Sep 21, 2011Amendment$16,525,000$10,225,000vs Jul 13, 201140SEC filing
Jul 13, 2011Initial$6,300,000No comparison15SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$100K (estimated)
Finders' fees
$0
Form D file number
021-162770

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
BRENT COCHRAN2361173CAMBRIDGE INVESTMENT RESEARCH INC. · CRD 39543
DAVID ELLIOTT4747289CAMBRIDGE INVESTMENT RESEARCH INC. · CRD 39543
JAMES SERAMBA2580051CAMBRIDGE INVESTMENT RESEARCH INC. · CRD 39543

Source: Form D, filed Nov 22, 2011. 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 MARKET OPPORTUNITIES IV, LP

Investment adviser: KEYSTONE NATIONAL GROUP, LLC

Gross asset value
$3.92M
Beneficial owners
97
ADV minimum commitment
$250K

Reported in Form ADV on Mar 23, 2021. 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
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

Filing source

Form ADV 1496386 · Mar 23, 2021 · Schedule D 7.B.(1), fund 805-7650045734

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 Executive, Promoter
Brandon Nielson Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

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