Form D · Venture Capital Fund

NAM Special Situations Fund I QP, LLC- FBIO Series V

New York, NY · CIK 0001714801

Offering snapshot reported Aug 30, 2017 · SEC filing

Reported sold
Yet to sell
Offering amount: $50M
Investors reported
0
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Yet to occur
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
Aug 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
021-293796
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 Aug 30, 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 V

Investment adviser: B. RILEY WEALTH ADVISORS, INC.

Gross asset value
$0
Beneficial owners
0
ADV minimum commitment
$25K

Reported in Form ADV on Sep 6, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator EAS ACCOUNTING SERVICES CPA LLC NEW YORK, New York, 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 1344391 · Sep 6, 2019 · Schedule D 7.B.(1), fund 805-2509053794

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:
200 Vesey Street, 25 Th Floor
New York, NY, 10020