Form D · Hedge Fund

Legion Partners Special Opportunities, L.P. VI

Beverly Hills, CA · CIK 0001709053

Offering snapshot reported Jun 12, 2017 · SEC filing

Reported sold
$7.76M
Indefinite offering
Investors reported
15
Form D · investor count
Minimum accepted
$25K
Reported outside-investor minimum
First sale
Jun 7, 2017
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
Jun 12, 2017Initial$7,762,000No comparison15SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-288530

Source: Form D, filed Jun 12, 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

LEGION PARTNERSHIP SPECIAL OPPORTUNITIES, L.P. VI

Investment adviser: LEGION PARTNERS ASSET MANAGEMENT, LLC

Gross asset value
$9.24M
Beneficial owners
18
ADV minimum commitment
$50K

Reported in Form ADV on Oct 4, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator ALPS FUND SERVICES LLC DENVER, Colorado, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP LOS ANGELES, California, United States
Custodian WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States Related to adviser: No
Marketer FRONTEGRA STRATEGIES, LLC NORTHBROOK, Illinois, United States Related to adviser: No
Marketer INVERNESS SECURITIES, LLC CLEVELAND, Ohio, United States Related to adviser: No
Prime broker WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

KPMG LLP
PCAOB 185

WELLS FARGO SECURITIES, LLC
SEC 8-65876

FRONTEGRA STRATEGIES, LLC
CRD 137529 · SEC 8-67094

INVERNESS SECURITIES, LLC
CRD 129914 · SEC 8-66278

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Filing source

Form ADV 1144778 · Oct 4, 2017 · Schedule D 7.B.(1), fund 805-1071560361

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
Christopher Kiper Executive
N/A N/A Legion Partners Holdings, Llc Promoter
N/A N/A Legion Partners, Llc Promoter
Bradley Vizi Executive
Raymond T. White Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
9401 Wilshire Blvd, Suite 705
Beverly Hills, CA, 90212