Form D · Private Equity Fund
NB Crossroads 2010 Fund - Plan Asset Allocation LP
Dallas, TX · CIK 0001486691
Offering snapshot reported Jul 1, 2011 · SEC filing
- Reported sold
- $6.2M Indefinite offering
- Investors reported
- 10 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Feb 22, 2010 As reported in this filing
Fundraising history
Reported soldDates 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$4,850,000 → $6,200,000
- Reported investors4 → 10
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jul 1, 2011 | Amendment | $6,200,000 | $1,350,000vs Nov 12, 2010 | 10 | SEC filing |
| Nov 12, 2010 | Amendment | $4,850,000 | $750,000vs Apr 29, 2010 | 4 | SEC filing |
| Nov 12, 2010 | Amendment | $4,850,000 | $750,000vs Apr 29, 2010 | 4 | SEC filing |
| Apr 29, 2010 | Amendment | $4,100,000 | $0vs Mar 12, 2010 | 1 | SEC filing |
| Mar 12, 2010 | Initial | $4,100,000 | No comparison | 1 | SEC filing |
| Mar 11, 2010 | Initial | $4,100,000 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $65K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-139471
Responses in Items #13 and #14 are estimates.
Estimate includes projected fees over the next 12 months.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| UBS FINANCIAL SERVICES INC. | 8174 | UBS FINANCIAL SERVICES INC. · CRD 8174 |
| Barclays Capital Inc. | 19714 | Barclays Capital Inc. · CRD 19714 |
Source: Form D, filed Jul 1, 2011. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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.
| Name | Reported role |
|---|---|
| John Paul Buser | Executive |
| Scott Christiansen | Executive |
| Christopher Frattaroli | Executive |
| Andrew Komaroff | Executive |
| Beverly Lemond | Executive |
| Joseph A. Malick | Executive |
| Joshua Miller | Executive |
| Christian Neira | Executive |
| Michael Rees | Director |
| Blake Rice | Executive |
| Jonathan Shofet | Executive |
| Brien P. Smith | Director |
| David Stonberg | Executive |
| Anthony D. Tutrone | Director, Executive |
| Peter Von Lehe | Executive |
| Sean Ward | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Dallas, TX, 75201