Form D · Private Equity Fund

NAM Special Situations Fund I, LLC

New York, NY · CIK 0001665289

Offering snapshot reported Jul 26, 2016 · SEC filing

Reported sold
$9.31M
Offering amount: $1B
Investors reported
86
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Apr 19, 2016
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$4.66M$9.31MMay 2, 2016: $7,210,000.00May 2, 2016Jul 26, 2016: $9,310,000.00Jul 26, 2016

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$7,210,000 → $9,310,000
  • Reported investors0 → 86

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jul 26, 2016Amendment$9,310,000$2,100,000vs May 2, 201686SEC filing
May 2, 2016Initial$7,210,000No comparison0SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
No
Business combination
No
Sales commissions
$931K
Finders' fees
$0 (estimated)
Form D file number
021-262419
Total Offering Amount, in the aggregate, by Issuer and NAM Special Situations Fund I QP, LLC
10% of sales proceeds for each Unit sold in offering.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
National Securities Corporation7569

Source: Form D, filed Jul 26, 2016. 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

NAM SPECIAL SITUATIONS FUND I, LLC (LYFT SERIES I)

Investment adviser: B. RILEY WEALTH ADVISORS, INC.

Gross asset value
$18.8M
Beneficial owners
87
ADV minimum commitment
$25K

Reported in Form ADV on Oct 27, 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 EISNERAMPER LLP NEW YORK, New York, United States
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED SAN FRANCISCO, California, United States Related to adviser: No
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

EISNERAMPER LLP
PCAOB 274

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

SIGNATURE BANK
LEI 13-4149421

NATIONAL SECURITIES CORPORATION
CRD 7569 · SEC 8-164

Filing source

Form ADV 1573940 · Oct 27, 2021 · Schedule D 7.B.(1), fund 805-7709200735

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
Mark Goldwasser Director, Executive
William Lerner Executive
David Levine Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
410 Park Avenue 14 Th Floor
New York, NY, 10022