Form D · Private Equity Fund

NAM Special Situations Fund I QP, LLC (Lyft Series IV)

New York, NY · CIK 0001704134

Offering snapshot reported Apr 19, 2017 · SEC filing

Reported sold
$3.6M
Indefinite offering
Investors reported
40
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Apr 3, 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
Apr 19, 2017Initial$3,600,000No comparison40SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
No
Business combination
No
Sales commissions
$1M (estimated)
Finders' fees
$0
Form D file number
021-285136
Assumes maximum commissions earned.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
National Securities Corporation7569

Source: Form D, filed Apr 19, 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 LYFT SERIES IV

Investment adviser: B. RILEY WEALTH ADVISORS, INC.

Gross asset value
$5.95M
Beneficial owners
40
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 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 1453839 · Oct 5, 2020 · Schedule D 7.B.(1), fund 805-3455823648

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 Special Situations 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