Form D · Venture Capital Fund

NAM Special Situations Fund I QP, LLC (FBIO Series I)

New York, NY · CIK 0001702316

Offering snapshot reported Apr 12, 2017 · SEC filing

Reported sold
$1.8M
Offering amount: $50M
Investors reported
10
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Mar 31, 2017
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported investors0 → 10

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 12, 2017Amendment$1,804,000No comparison10SEC filing
Mar 30, 2017InitialYet to sellNo comparison0SEC 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
021-283712
Assumes maximum commissions earned equal to 10% of gross proceeds. Excludes 5-year cash only placement agent warrants as set forth in the offering materials.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
National Securities Corporation7569

Source: Form D, filed Apr 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

NAM SPECIAL SITUATIONS FUND I QP LLC FBIO SERIES I

Investment adviser: B. RILEY WEALTH ADVISORS, INC.

Gross asset value
$16.1M
Beneficial owners
123
ADV minimum commitment
$25K

Reported in Form ADV on Oct 5, 2020. 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 NEW YORK, New York, 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 1453839 · Oct 5, 2020 · Schedule D 7.B.(1), fund 805-1425985459

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
David Levine Executive
Nam Biotech Management Llc Executive
National Asset Management, Inc. Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

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