Form D · Private Equity Fund

NAM Special Situations Fund VI, LLC - Series V1

New York, NY · CIK 0001748616

Offering snapshot reported Apr 2, 2019 · SEC filing

Reported sold
$8.51M
Offering amount: $10M
Investors reported
117
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Aug 30, 2018
As reported in this filing

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported investors0 → 117

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Apr 2, 2019Amendment$8,506,000No comparison117SEC filing
Aug 29, 2018InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b
Duration over one year
No
Business combination
No
Sales commissions
$1M (estimated)
Finders' fees
$0
Form D file number
021-320323
Assumes maximum commissions earned.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
National Securities Corporation7569

Source: Form D, filed Apr 2, 2019. 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 VI, LLC (SERIES VI)

Investment adviser: B. RILEY WEALTH ADVISORS, INC.

Gross asset value
$129K
Beneficial owners
91
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
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

NATIONAL SECURITIES CORPORATION
CRD 7569 · SEC 8-164

Filing source

Form ADV 1573940 · Oct 27, 2021 · Schedule D 7.B.(1), fund 805-7408196133

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
Nam Special Situations 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, 10281